- Wells Fargo (Syracuse, NY)
- …Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify ... for immediate registration (or FINRA recognized equivalents) + Financial services experience + Client...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
- Wells Fargo (New York, NY)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
- Wells Fargo (New York, NY)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Wells Fargo (New York, NY)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... complex environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. … more
- Wells Fargo (New York, NY)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... financial markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, training, ... surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer...Experience as a regulatory examiner with SEC, NFA or FINRA (NFA or SEC Examiner of Swap Dealers a… more
- Raymond James Financial, Inc. (New York, NY)
- **Essential Duties and Responsibilities** + Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders. + ... processes with key stakeholders. + May coach, train, and mentor others Compliance associates. + May coordinate with stakeholders to develop and implement continuing… more
- Guardian Life (New York, NY)
- …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
- Citigroup (New York, NY)
- …and reporting control issues with transparency. **Qualifications:** + Expertise of Compliance laws, rules, regulations, risks and typologies ( FINRA , SEC) ... Serves as a function/business/product compliance risk officer as a **Senior Vice President...officer as a **Senior Vice President for Equities Independent Compliance Risk Management (ICRM)** responsible for establishing internal strategies,… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...equity, listed options, margin trading, etc) and related SEC, FINRA , MSRB and other SRO rules and regulations +… more