- Citigroup (New York, NY)
- …referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...able to work without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR… more
- Marex (New York, NY)
- …credit trading to resolve settlement and corporate action related breaks. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA , ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as require + To...Income trading of corporate bonds and US treasuries. + FINRA Series 99 or willingness to acquire preferred. +… more
- Citigroup (Hewlett, NY)
- …referral leads. + Manage client follow-up and adhere to all Regulatory and Compliance operating procedures + Ensure that KYC/AML and other compliance norms ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...able to work without direction + Required current US FINRA Registration: SIE, Series 6, 63, and 65 OR… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Surveillance Quality Assurance Manager to assist with… more
- Wells Fargo (New York, NY)
- …and profitability of the securities trading business + Engage clients, compliance , portfolio managers, and industry leaders + Identify and recommend opportunities ... strategy and actions of Wells Fargo Securities team to meet risk, compliance , and portfolio deliverables + Interpret and develop trading architecture, trading… more
- Wells Fargo (New York, NY)
- …trading architecture, programs and trading policies for clients, advisors, and compliance + Identify opportunities and strategies to develop trading programs and ... Securities Trading positions, risk and profitability, while adhering to regulatory and compliance requirements + Lead Wells Fargo Securities team by making strategic… more
- Wells Fargo (New York, NY)
- …training as scheduled + Assist with deal closing including regulatory and compliance requirements Ideal Candidate for this role: + Outstanding problem solving and ... banking, or financial services industry. This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- KeyBank (Schenectady, NY)
- …effectively managing internal and external centers of influence. + Ensuring compliance with operational, risk, security and audit procedures and policies including ... and capabilities within Key (required) **Licenses and Certifications** + FINRA License S6 Upon Hire (required) + FINRA... FINRA License S6 Upon Hire (required) + FINRA License S63 Upon Hire (required) + FINRA… more
- City National Bank (New York, NY)
- …of the portfolio review materials at client meetings. * Risk Management and Compliance * Keep current on client's financial information while ensuring that clients ... Know Your Client, Community Reinvestment Act, Code of Conduct, FINRA , etc.). WHAT DO YOU NEED TO SUCCEED? *Required...* Minimum 3 years experience in investment sales * FINRA Series 7 and 63 and 65 or 66… more
- MUFG (New York, NY)
- …significance and impact on risk and/or risk management practices. + Maintain compliance with audit methodology, while also operating within industry best practices, ... applicable regulations, such as DFA Swap Dealer, Volcker and FINRA , SEC and NASD rules. + Experience working with...working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology,… more