- 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
- Wells Fargo (New York, NY)
- …December 2025 or May/June 2026 This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Wells Fargo (New York, NY)
- …risk and regulatory trends impacting Rates business + Technical expertise in regulatory, compliance , and risk management issues. + Ability to analyze data and use ... or other long-term incentive awards + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Wells Fargo (New York, NY)
- …situations requiring exceptional understanding of the function, policies, procedures, and compliance requirements that influence and lead broader work team to meet ... to credit committee for approval of loans + Work with outside counsel, internal compliance , and our loan closing teams to close modifications and new loans including… more
- Wells Fargo (New York, NY)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
- Wells Fargo (New York, NY)
- …customer service + Help train, mentor, coach and develop junior talent + Ensure compliance with all new Dodd-Frank and Other regulatory rules and help guide team to ... required to report certain incidents. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Wells Fargo (New York, NY)
- …Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
- Wells Fargo (New York, NY)
- …timely monitoring of performance trends, validating risk ratings, monitoring covenant compliance , as well as adherence to policy and regulatory requirements to ... and coordinate colleagues in the execution of loan booking, closing, and compliance requirements. + Contribute to and lead credit focused projects, partnering with… more
- TD Bank (New York, NY)
- …also works with management / control function partners (eg Risk, Legal, Compliance , AML and Audit) to assess risks, develop and implement proactive strategies, ... automated (Algo) trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct...Electronic and Algo Trading rules and regulations, more specifically FINRA and SEC (eg, SEC Reg NMS, SEC Reg… more
- Wells Fargo (New York, NY)
- …quantitative discipline **Job Expectations:** + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of ... a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more