- SMBC (New York, NY)
- …10 years of audit experience in the in Audit, Risk, Business Control, Compliance , Finance in the financial industry. + Strong knowledge of securitized products (ECM, ... 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)
- …ability to liaise across multiple functions including trading, risk, finance, compliance , and operations. **Key Responsibilities:** * Support the primary business ... 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)
- …+ Daily CP issuance and liquidity management + Daily maturity limit and compliance monitoring for ABCP program + Maintain internal databases and ensure accurate ... 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)
- …to exposure on both a transaction and group level. + Ensure compliance with policy and regulatory requirements. **Requirements:** + Bachelor's degree, CFA candidacy ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- US Bank (New York, NY)
- …+ Direct business development and sales experience. + Legal, credit underwriting, compliance or other risk management experience. + Customer service and onboarding ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- SMBC (New York, NY)
- …to front office to ensure consistent and complete credit applications and compliance with internal policies and procedures + Ensure US Regulatory requirements are ... 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)
- …tools. You will also help advise senior leaders in Risk, Business, and Regulatory Compliance functions on the operation of their businesses in a manner consistent to ... 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
- PNC (NY)
- …of defense. Serves as point of review and sign off for risk management, compliance and audit requirements, as needed. + Manages, motivates and develops one or ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- SMBC (New York, NY)
- …and/or to deal with travel issues on weekends + Understanding of compliance /regulatory matters SMBC's employees participate in a Hybrid workforce model that provides ... 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)
- …teams (Controllers, Tax etc.) and other key colleagues (HR, Technology, Risk, Compliance , Business Management etc.) and will support Anaplan implementation as well ... 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