- 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
- SMBC (New York, NY)
- …reviews of credit exposures, including underwriting, risk grading, and policy compliance . + Lead credit reviews or continuous monitoring for specific business ... 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
- Capital One (New York, NY)
- …or transaction advisory experience with a focus on sell-side Mergers and Acquisitions + FINRA Licenses - 63, 79, SIE **_At this time, TripleTree as part of Capital ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- Raymond James Financial, Inc. (New York, NY)
- …Trading Systems, Smart Order Routers, and CSA management. + Regulations and Compliance . + TCA and Data Analytics, network concepts, topologies, and technologies. + ... education, and/or training approved by Human Resources. **Licenses/Certifications** + SIE, FINRA Series 7, Series 55 and Series 63 Licenses. (Preferable but… more
- JPMorgan Chase (New York, NY)
- …ensure client meetings are properly prepared for in advance. + Ensure compliance with organization policies and applicable regulations, ad Hoc service requests as ... capabilities, and skills:** + 5 plus years' experience in Financial Services industry + FINRA Series 7 and 66 licenses required + Bachelor's degree required + Proven… more
- SMBC (New York, NY)
- …to management and escalates issues timely, as necessary + Ensures compliance with Market Risk reporting documents **Qualifications and Skills** Recommended years ... 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
- Siebert Williams Shank (New York, NY)
- …securities broker-dealer and member of the Financial Industry Regulatory Authority ( FINRA ) and the Municipal Securities Rulemaking Board (MSRB). Our diverse ... + Ensure that all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures Qualifications: + SIE,… more
- MUFG (New York, NY)
- …timely fashion + On-board clients in coordination with the firm's credit, legal, compliance , and operations teams + Mentor and train junior talent **Requirements** : ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more