- CAE USA INC (Binghamton, NY)
- …possess an active DoD 8570.01-M IAT level II certified credentials (eg, SEC +) + Working knowledge of security standards and frameworks, rules and regulations, ... and system trust principals, such as, FIPS, NIST SP 800 Series, JSIG, DAAPM, and/or ICD. + Experience managing cybersecurity requirements operating in collateral, Special Access Programs (SAP) and /or Specialized Compartmentalized Information (SCI)… more
- Citigroup (New York, NY)
- …of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg M. + Providing compliance coverage and ... compliance leadership to the Cash Equities businesses. Provides compliance guidance on function/business/product rules and regulations relating to operational issues, transactional approvals and the application of internal compliance policies for day-to-day… more
- TD Bank (New York, NY)
- …SRO regulations and Firm policies related to all business activities (eg OCC, SEC , FINRA etc.). Ensures all Continuing Education requirements + are attained + ... Responsible for understanding and adhering to TD Wealth AML/ATF Policies and Procedures + Responsible for implementing TDs Customer Identification Program (CIP) by collecting and verifying required customer identification information, and performing other +… more
- Evolent (Albany, NY)
- …to travel up to 25-30%. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the application ... process. This is collected for compliance and security purposes and only reviewed if an applicant advances to the final interview state. Reasonable accommodations are available upon request.** **Technical Requirements:** We require that all employees have the… more
- Evolent (Albany, NY)
- …+ Computer Proficiency- **Required** **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the ... application process. This is collected for compliance and security purposes and only reviewed if an applicant advances to the final interview state. Reasonable accommodations are available upon request.** **Technical Requirements:** We require that all… more
- TD Bank (Middle Village, NY)
- …regulations and Firm policies related to all business activities (eg OCC, SEC , State Insurance Commissioners, NY Department of Financial Services, etc.) + Ensures ... all Continuing Education requirements are attained + Responsible for understanding and adhering to TD Bank & TD Wealth Policies and Procedures + Responsible for implementing TD's Customer Identification Program (CIP) by collecting and verifying required… more
- JPMorgan Chase (New York, NY)
- …conducted by banking and securities regulators, including the OCC, FRB, FDIC, SEC , FINRA, CME, NFA, and State regulators. Your daily routine includes interaction ... with various executive level internal clients in Global Technology and across the Lines of Business and Corporate Functions. You will interact with examiners at the regulators to schedule meetings with the firm. You will need to adapt procedures, processes and… more
- US Bank (New York, NY)
- …products + Experience navigating relationships with regulatory authorities, especially the SEC and FINRA + Experience with broker-dealer corporate governance + ... Familiarity and experience with relevant trade groups ( _e.g._ , SIFMA) + Experience managing a team of lawyers and paralegals + Excellent analytical, decision-making and problem-solving skills + Excellent written, verbal, and interpersonal communication skill… more
- Evolent (Albany, NY)
- …decisions and strategy implementation. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the ... application process. This is collected for compliance and security purposes and only reviewed if an applicant advances to the final interview state. Reasonable accommodations are available upon request.** **Technical Requirements:** We require that all… more
- Evolent (Albany, NY)
- …through intelligent, AI-driven solutions. **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of ... the application process. This is collected for compliance and security purposes and only reviewed if an applicant advances to the final interview state. Reasonable accommodations are available upon request.** **Technical Requirements:** We require that all… more