- JPMorgan Chase (New York, NY)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... 66 if required) and Life licenses are required - or must be successfully completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High school degree, GED, or foreign equivalent + Adherence to policies, procedures, and… more
- Mizuho Corporate Bank (New York, NY)
- …team of 4 - 6 reconciliation specialists focused on bank nostro accounts, securities and treasury products while ensuring the accuracy and timely distribution of ... results. + Support the daily performance of reconciliations with a hands-on approach to offset staff shortages or system delays that may impact on the ability to complete all daily tasks. + Liaise with back-office teams to investigate any outstanding break… more
- Guidehouse (New York, NY)
- …regional and national financial institutions, crypto/digital assets exchanges, Securities / Capital Markets institutions, regulatory/government agencies, and/or ... consulting firms + Deep understanding of AML regulations, investigations, and enforcement actions + Expertise in OFAC, EDD, KYC, BSA, CDD and/or forensic accounting + Deep understanding of Digital Onboarding and perpetual KYC transformation + Familiarity with… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- CS Energy (Syracuse, NY)
- …MWh of energy storage projects across the United States. Owned by American Securities , a leading US private equity firm, CS Energy leverages strong relationships ... with solar developers, IPPs, utilities, off-takers, suppliers, and landowners to help our customers streamline the project development process, lower project costs, and create value for all stakeholders as a trusted long-term partner. CS Energy has achieved… more
- JPMorgan Chase (New York, NY)
- …a global leader across investment banking, wholesale payments, markets and securities services. The world's most important corporations, governments and institutions ... entrust us with their business in more than 100 countries. We provide strategic advice, raise capital, manage risk and extend liquidity in markets around the world. As an Applied AI/ML Engineer, you will be responsible for designing, developing, and deploying… more
- JPMorgan Chase (New York, NY)
- …in maintaining our top position in the Latin American fixed income securities market. **Job Responsibilities:** + Assist in the execution of international bond ... transactions, including preparing marketing materials and proposals. + Gather and process market information for client presentations. + Analyze and compare financing alternatives in various currencies. + Prepare deal-related and non-deal related marketing… more
- BlackRock (New York, NY)
- …sales experience. + BA/BS degree required. + NASD series 7, 63 and 65 securities licenses (or 66) required. + Clean compliance record required with no prior ... contractual restrictions regarding distribution of investment products. For New York, NY Only the salary range for this position is USD$0.00 - USD$0.00 . Additionally, employees are eligible for an annual discretionary bonus, and benefits including healthcare,… more
- Wells Fargo (New York, NY)
- …check. Internal transfers are subject 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 subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents._ **Pay Range** Reflected is the base… more
- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more