- 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
- NBT Bank (Williamsville, NY)
- …rules and regulations + Strong communication and PC skills + No significant compliance issues + Has developed a process for client segmentation + Demonstrated team ... knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series 7, Series 63 and life insurance license or a Registered… more
- MUFG (New York, NY)
- …visualizing risk data, ultimately supporting critical decision-making and regulatory compliance . Risk Technology is undergoing a significant transformation, driven ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more