- SMBC (New York, NY)
- …align stakeholders on transformation goals. Collaborate with technology, operations, and compliance teams to ensure seamless execution of initiatives. Represent the ... 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)
- …Prepare materials for regulator examinations, external and internal audits. + Ensure compliance of all internal and external matters in accordance with banking ... 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)
- …Prepare materials for regulator examinations, external and internal audits. . Ensure compliance of all internal and external matters in accordance with banking ... 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)
- …focused on solving some of the bank's most pressing data challenges-not just for compliance , but for real business value. This is a rare opportunity to shape how ... 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 ... under tight deadlines + Excellent verbal and written communication skills + FINRA Series 7 and 66 preferred **Education:** + Bachelor's/University degree or… more
- SMBC (New York, NY)
- …position in the market. + Understand external regulatory matters and internal compliance and policies and procedures; pro actively escalate operational risk loss ... 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
- Scotiabank (New York, NY)
- …and support our clients + Coordinate with internal teams including legal, tax, compliance , internal controls + Liaise with outside counsel for ongoing business and ... and system upgrades to improve processes and increase efficiencies **What You'll Bring** + FINRA Series SIE, 7 and 63 + 6+ years of experience in structured sales… more
- MUFG (New York, NY)
- …matured/maturing loans/credit lines and coordinate appropriate renewal. + Ensure compliance with external regulatory/internal policy and procedural requirements. The ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- Citigroup (Smithtown, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... lead, motivate, and influence others + Excellent verbal and written communication skills + FINRA licenses required: SIE - 7, 66, 9 and 10 or equivalent Education: +… more
- MUFG (New York, NY)
- …and obtain the most favorable commercial terms for the bank. Ensure compliance with Basel rules governing regulatory capital relief. + As appropriate, work ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more