- MUFG (New York, NY)
- …the trade + On-board clients in coordination with the firm's credit, legal, compliance , and operations teams **Requirements** : + 3+ years of experience + Bachelor's ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Citigroup (New York, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... accounting, mathematics, statistics, or related field required; Master's Degree preferred + FINRA , SIE, 7, 66, 24 - Additional professional accreditation such as… more
- SMBC (New York, NY)
- …clients + Knowledge of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers + Excellent communication and presentation ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- BMO Financial Group (New York, NY)
- …impact. + Capable of organizing and running the morning equity call. + Understand compliance and the regulatory environment and act as a coach and resource to direct ... licensed by securities regulator in the US and/or Canada (including passing FINRA Series 24 and/or other exams within probation period). **Additional Information:**… more
- SMBC (New York, NY)
- …Execute data governance, improve operational data quality, and implement BCBS 239 compliance . Ensure timely, accurate and complete collection and aggregation of risk ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- MUFG (New York, NY)
- …and/or operational risk management, (includes operations, operational risk management, compliance , audit, and third-party risk management within technology and or ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- SMBC (New York, NY)
- …Advises and records all Wall Crossings. + Liaises with EMEA and Tokyo Compliance to ensure global consistency where necessary and/or desirable. + Performs local ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- MUFG (New York, NY)
- …and collaboration with Credit/Risk Teams + Be accountable for ensuring compliance with all internal and external regulations, guidelines, standards and procedures ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Santander US (New York, NY)
- …models utilizing Microsoft Excel. * Performs transaction due diligence. * Ensures compliance with all policy, legal and federal regulations. * Researches and ... * Strong verbal and written communication skills, organizational skills and project management skills. FINRA Licenses 7 and 63 required. It Would Be Nice For You To… more
- SMBC (New York, NY)
- …findings, driving remediation efforts to uphold our high standards of compliance . - Enhance governance frameworks, contributing to the continuous improvement of ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more