- Bank of America (Buffalo, NY)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations… more
- MUFG (New York, NY)
- …Intraday monitoring, collateral management, cash flow forecasting, stress testing, and compliance with ALM guidelines. **Job Requirements** + 5+ years of experience ... 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)
- …operational data quality, lead data related projects, and implement BCBS 239 compliance . Ensure timely, accurate and complete collection and aggregation of risk data ... 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 identify deterioration or negative management control trends and review compliance with policies, guidelines, and regulations. + Prepare periodic Risk Profile ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (New York, NY)
- …and approval + Oversee and manage internal processes required for compliance and execution, including KYC, profitability analysis, committee approvals, legal due ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- MUFG (New York, NY)
- …regard to exposure on both a transaction and group level + Ensure compliance with policy and regulatory requirements **Skills & Experience:** + Bachelor's degree, in ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (New York, NY)
- …and business partners **Job Description** + Independently assists in financial, compliance , and/or operational audit reviews, including the evaluation of design and ... 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)
- …to management and relevant business units on regulatory expectations. + Oversee compliance and alignment of team member activities with all strategic directives. + ... 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)
- …business strategies and objectives. Ensure all activities conducted are in compliance with governing regulations, internal policies and procedures. **What You'll ... platform, and enhance banking skillset + Obtain and maintain required FINRA registration and licensing appropriate to your functions and responsibilities… more
- SMBC (New York, NY)
- …waivers and amendments, internal reports, and special credit requirements. + 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