- BlackRock (New York, NY)
- …financial institutions) in the financial services industry. 2. Financial services in Securities Lending. 3. Using SAP Business Object to conduct analysis and review ... business cases. 4. Managing projects to global regulation standards (Including UCITs, BASEL Framework, 1940 Act, ERISA, 81-102). 5. Implementing and applying Environment, Social and Governance (ESG) investment guidelines and policies. 6. European market… more
- Citigroup (New York, NY)
- …to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the same ... + Adhere to all policies and procedures as defined by your role which will be communicated to you + Obtain and maintain all registrations/licenses which are required for your role, within the appropriate timeframe + Appropriately assess risk when business… more
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management + Excellent written, verbal and ... analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior… more
- Citigroup (New York, NY)
- …prioritization and opportunities + License requirements for the role: SIE ( Securities Industry Essentials), Series 7 & Series 63. **Skills and Competencies:** ... + Strong analytical and problem-solving skills. + Excellent communication and interpersonal skills. + Ability to work in a fast-paced and dynamic environment. + Leadership and team management skills. + Data visualization and presentation **Job Family Group:**… more
- BMO Financial Group (New York, NY)
- …and Market Access. + Strong knowledge of applicable regulatory/compliance requirements, securities laws, rules and regulations with the ability to assess firm ... impact. Series 7, 63, and/or 24 a plus. + Typically minimum of 3 years of relevant experience and secondary degree in related field of study or an equivalent combination of education and experience. + Recognized compliance certificate or equivalent preferred.… more
- JPMorgan Chase (Brooklyn, NY)
- …& Investment Bank is a global leader across banking, markets, securities services, and payments. Corporations, governments, and institutions throughout the world ... entrust us with their business in more than 100 countries. This role provides an experienced and curious product marketer the opportunity to create and support end-to-end marketing strategies, apply "big-picture" marketing ideas to spark internal and external… more
- Wells Fargo (Rochester, NY)
- …acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Ability to ... travel up to 25 percent of the time + This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has… more
- KeyBank (Albany, NY)
- …risk programs to ensure consistency with current applicable banking and securities rules, regulations, and laws. + Develop and maintain strong, collaborative ... relationships with management, other internal clients and peers, and Audit. **Required Qualifications** + Education/Background: Bachelor's degree, + Two (2) or more years of BSA/AML, OFAC and Fraud compliance, risk management, and/or audit experience with a… more
- New York State Civil Service (Albany, NY)
- …receipts, investments, and collateral.Assist with the purchase and sale of securities in coordination with the accounts payable disbursement process.Coordinate the ... investment and liquidation of funds related to financing activities, and initiate wire transfers to move funds between Authority accounts.Perform moderately difficult financial calculations and/or analysis.Record and/or review investment transactions from… more
- JPMorgan Chase (New York, NY)
- …macroeconomic drivers, and technical structure of interest rate and FX securities (forwards, futures, swaps, options, sovereign bonds). + Demonstrated ability to ... generate and implement high-conviction investment ideas, with expertise in risk identification, quantification, and mitigation. + Effective communicator with strong business writing and presentation skills; able to work collaboratively in an intellectually… more