- SMBC (New York, NY)
- …in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in ... 1. Maintain entity level Risk Governance in compliance with CFTC/NFA and SEC /FINRA regulations and uphold the risk governance framework for CUSO Market Risk… more
- Motion Recruitment Partners (New York, NY)
- …trading platforms (ATS, electronic exchanges), trading desk (NASDAQ) and SEC regulatory requirements. * Background in Legal/compliance, audit, or data/metrics ... trading systems to support the operations, compliance, and governance of the company 's Alternative Trading System (ATS). * Will produce and reconcile performance… more
- Evolent (Albany, NY)
- …+ Ensure strict compliance with federal and state regulations and company policies, procedures, and processes **Qualifications - Required and Preferred:** + ... managed care and/or provider engagement **To comply with HIPAA security standards (45 CFR sec . 164.308 (a) (3)), identity verification may be required as part of the… more
- Siebert Williams Shank (New York, NY)
- …development efforts. SWS is a full-service investment banking and financial services company dual-headquartered in New York and Oakland. SWS is a perennial leader ... trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member of the Financial Industry Regulatory Authority… more
- MUFG (New York, NY)
- …Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules. + Experience working with financial industry regulators, including ... listed above are the material job duties of this role for which the Company reasonably believes that criminal history may have a direct, adverse and negative… more
- KeyBank (NY)
- …internal systems and AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years AML/OFAC related experience, or ... compensation and deferred incentive compensation subject to individual and company performance. Please click here (http://www.key.com/kco/images/Key\_Benefit\_Eligibility\_Chart.pdf) for a list… more
- KeyBank (NY)
- …internal systems and AML Program + Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations + 5 years AML/OFAC related experience, or ... compensation and deferred incentive compensation subject to individual and company performance. Please click here (http://www.key.com/kco/images/Key\_Benefit\_Eligibility\_Chart.pdf) for a list… more
- Evolent (Albany, NY)
- …teams. The Director will define and execute product strategies that align with company goals, ensuring innovation and excellence in every release. This role also has ... 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… more
- JPMorgan Chase (New York, NY)
- …Rules for Segregation of Regulatory Initial Margin are not cleared, FINRA 4210, and the SEC cleared repo mandate, is a must. You must have the ability to work under ... opportunity employer and place a high value on diversity and inclusion at our company . We do not discriminate on the basis of any protected attribute, including… more
- JPMorgan Chase (New York, NY)
- …roles within the financial sector. + In-depth knowledge of FINRA, MSRB, and SEC rules and regulations. + Strong critical thinking and analytical skills to assess ... opportunity employer and place a high value on diversity and inclusion at our company . We do not discriminate on the basis of any protected attribute, including… more