- Zoom (Albany, NY)
- What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the ... not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC, GDPR, data retention, archiving). You will maintain compliance … more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair ... seeking a highly experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing and mitigating conflicts of… more
- US Bank (New York, NY)
- …residing within the Bank's Second Line of Defense Risk Management and Compliance organization. Specifically, this position supports the Model Risk Management ("MRM") ... and Developers to validate models related to the Bank's Compliance and Financial Crimes groups, which can include Anti-Money...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Wells Fargo (New York, NY)
- …in excel, PowerPoint, etc. **Job Expectations:** + Up to 50% travel + Registration for FINRA Series 7 must be completed within 90 days of hire date if it is ... not available for transfer upon hire. FINRA recognized equivalents will be accepted. +...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Wells Fargo (New York, NY)
- …business challenges while developing expertise in relevant policies, procedures, and compliance requirements. + Collaborate with peers and internal partners to share ... relationships across internal teams and external partners **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire… more
- PNC (New York, NY)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- TD Bank (New York, NY)
- …of conduct and maintain high ethical standards + Manages assigned employees in compliance with all HR policies, procedures, and guidelines of conduct + Leads, ... Market share + Leads in a manner that strengthens compliance with all regulations, policies and procedures that apply...businesses + Remains knowledgeable of all OCC, FRB, SEC, FINRA and state regulatory requirements as they pertain to… more
- SMBC (New York, NY)
- …Internal Auditor to work within the Internal Auditing Department's Financial Crimes Compliance team ("the FCC Audit Team") for the Americas function. It reports ... areas of the determined audit scope to provide reasonable assurance of compliance with internal policies and applicable rules, laws, and regulations and appropriate… more
- Kyndryl (New York, NY)
- …(see below more) + Insights into regulatory frameworks (eg, Basel III, SEC, FINRA , etc.) to help clients navigate compliance challenges + Deep understanding ... veteran status, or other characteristics. Kyndryl is also committed to compliance with all fair employment practices regarding citizenship and immigration status. more
- Wells Fargo (New York, NY)
- …with integrity, good character and exercise sound judgement **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire ... date if it is not available for transfer upon hire. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not available for… more