- Cornell Cooperative Extension (Elmira, NY)
- …familiar and strive to follow any applicable federal, state, local regulations , Association health and safety policy/procedure/requirement and standard. + Act ... proactively to prevent accidents/injuries and communicate hazards to supervisors when identified. Job Title: Association Subject Educator I Level: 004 Pay Rate Type: Hourly Company: Contract College Contact Name: Jerilynn Cross Cornell Cooperative Extension is… more
- Raymond James Financial, Inc. (New York, NY)
- …the securities industry, broker/dealer compliance and/or branch exams + Rules and regulations of the SEC, FINRA, and state securities regulatory agencies + ... Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear, concise, cross-functional communications, both written and… more
- Cardinal Health (Albany, NY)
- …MAC appeal response adheres to all applicable state and federal laws, statutes, and regulations . + Serve as a point of contact for pharmacies, providing updates and ... clarifying information regarding MAC appeals and pricing + Proactive problem-solving skills to identify and address issues within the MAC appeals process. + Strong ability to analyze data, identify discrepancies, and draw actionable conclusions regarding MAC… more
- MUFG (New York, NY)
- …experience + Strong knowledge of FINRA, SEC, NFA and CFTC rules and regulations . + Strong verbal, written and organizational skills. The typical base pay range ... for this role is between $126k-$173k depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program… more
- M&T Bank (New York, NY)
- …protect Wilmington Trust and help ensure it complies with all relevant laws and regulations . + Serve as a trusted advisor to senior leadership, offering ... regulatory bodies. The successful candidate will be a key advisor to senior leadership and will play a critical...Investor Act + 12 CFR 9 and other banking regulations + Collaborate with Wilmington Trust business leaders to… more
- Capital One (Jericho, NY)
- …Payments Advisory Manager **The Anti-Money Laundering (AML) Enterprise Payments Compliance Advisor Manager** performs a key second-line risk management role to help ... initiatives and lines of business processes comply with applicable laws and regulations . While working within the AML Program framework, the AML Compliance… more
- HUB International (New York, NY)
- …HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer, will ... and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means assisting in… more
- Neuberger Berman (New York, NY)
- …business development through market-level partnerships. **Responsibilities** + Partner with Advisor Consultants to optimize business management and deliver a ... relationships + Professionally manage pipeline opportunities in partnership with Advisor Consultants; iteratively advance opportunities to the "next best step"… more
- Citigroup (New York, NY)
- …how Citi Wealth shows up across all digital channels - from .com to advisor platforms, social media to email automation - ensuring a seamless, impactful, and ... cement digital as a core engine of client growth, brand building, and advisor enablement across Citi Wealth. **Responsibilities:** + Develop and lead Citi Wealth's… more
- Justworks (New York, NY)
- …and preventative measures are implemented across the business. + Serve as a Strategic Advisor : Act as a key advisor to business leaders on crisis response ... principles and practices into their daily operations. + Trusted advisor : Act as the subject matter expert and trusted...+ Thorough knowledge of internal policies, standards, laws, and regulations , with the ability to apply industry best practices… more