- Wells Fargo (New York, NY)
- …outside of regular business hours + 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
- Raymond James Financial, Inc. (New York, NY)
- …and Responsibilities** + Execution of the risk-based branch exam program in FINRA -registered and non-registered Private Client Group branches across the country + ... all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and...branch exams + Rules and regulations of the SEC, FINRA , and state securities regulatory agencies + Fundamental investment… more
- Citigroup (New York, NY)
- …Solutions Leadership team and their specific organizations with assessment of operational, compliance and reputational risks and the design of effective controls to ... global investment processes around client suitability, transaction related controls and compliance with policies and applicable global/ local regulations. + Take an… more
- Wells Fargo (New York, NY)
- …(New York City): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... 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
- Marex (New York, NY)
- …and maintenance of client static data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements ... under the SEC, FINRA , NFA, CFTC and other applicable regulatory bodies. +...responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To… more
- 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
- SMBC (New York, NY)
- …products. **Role Objectives: Delivery** 1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC/ FINRA regulations and uphold the risk ... Associate will collaborate with teams in the Front Office, Finance, Accounting, Compliance , Legal, and Audit, while leveraging resources within the Risk Management… more
- Microsoft Corporation (New York, NY)
- …pre-sales or technical consulting experience OR equivalent experience. + Experience with Compliance regulations in financial services such as FINRA , DORA, EU ... Insurance, Capital Markets and Consumer Banking + Experience with Compliance regulations in financial services such as FINRA... Compliance regulations in financial services such as FINRA , DORA, EU AI Act and other regulations +… more
- Citigroup (New York, NY)
- …controls: + Work in close partnership with control functions such as Legal, Compliance , Market and Credit Risk, Audit, Finance to ensure appropriate governance and ... firm's reputation and safeguarding Citi, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policies, applying… more
- Raymond James Financial, Inc. (New York, NY)
- …this leader will regularly interact with federal and state regulators, Compliance , Audit, business unit executives, Raymond James enterprise technology functions and ... **Knowledge, Skills, and Abilities** **Knowledge of** + Federal Reserve, OCC, FINRA , SEC, and other relevant regulatory guidance + Experienced in the… more