- Citigroup (New York, NY)
- …Ability to manage relationships both internal and external; Ability to multi-task + FINRA Securities Licenses: Series 7 and 66 (or 63 & 65) required to obtain within ... 150 days of assuming the role. **Education:** + Bachelor's/University degree or equivalent experience **Job Family Group:** Private Client Coverage **Job Family:** Private Banker Support **Time Type:** Full time **Primary Location:** New York New York United… more
- TD Bank (New York, NY)
- …& duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate, ... government, and institutional clients who choose us for our innovation, execution, and experience. With more than 6,500 professionals operating out of 40 cities across the globe, we help clients meet their needs today and prepare for tomorrow. Our services… 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
- Cardinal Health (Albany, NY)
- …image. This function provides legal counsel related to commercial, corporate securities , intellectual property, labor and employment, and regulatory law, among other ... areas. This function also litigates all company legal matters, manages outside counsel and manages legal operations. Legal Management provides strategic oversight, leadership and direction within the Legal function. **_Job Summary_** This leadership role is… more
- JPMorgan Chase (Old Field, NY)
- …required training. + High school degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 ... if required), and Life licenses are minimum requirements. All unlicensed applicants must obtain their licenses though JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… more
- KeyBank (Buffalo, NY)
- …business policies and procedures are consistent with current applicable banking and securities rules, regulations, and laws. - Respond to internal and external ... audits, exams and requests for information and provide review & challenge of any line of business responses to internal and external audits. Assist in the evaluation of audit and examination findings and implementation of corrective action and needed… more
- Janus Henderson Investors (Manhattan, NY)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- National Association of Insurance Commissioners (NY)
- …into understandable terms for the technology team. Extensive experience with investment securities , systems, data, controls and processes is **essential** as well as ... prior direct management experience. This position is located in the NAIC's state-of-the-art offices in New York City. **This is a full-time hybrid position in a positive and flexible environment. Residency within 100 miles of the New York City office is… more
- JPMorgan Chase (New York, NY)
- …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. Clients turn to our industry-leading Markets, Sales, and Research team to offer unique market… more
- HUB International (New York, NY)
- …of Ethics and other policies and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in ... conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules, regulations, and internal policies; + Recommend workable action plans for identifying and correcting material… more