- 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
- City of New York (New York, NY)
- …issuers develop post-issuance compliance policies and procedures in accordance with securities laws. - Tracking, reviewing, researching, analyzing and filing all ... ratings of City bonds, underwriters and other City related bond issuers through the Electronic Municipal Market Access (EMMA) portal. - Conducting due diligence regarding material compliance with the City and its related issuers offering documents to determine… 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
- Charles Schwab (Forest Hills, NY)
- …asset consolidation, networking, and earning client referrals. If you currently have your securities license, enjoy working in a team setting, and share our passion ... for serving clients - this role is for you. **What you have** **Required Qualifications:** + A valid and active FINRA Series 7 license required + Obtaining or acquiring FINRA Series 66 (63/65) license and Life & Health Insurance as it will be required during… more
- HSBC (Buffalo, NY)
- …risks. Experience in assurance or audit roles preferred. Experience in securities compliance is a plus + Preferably bachelors/master's in accounting, Finance, ... Business Administration, or related field + Good understanding of the US regulatory frameworks and regulatory requirements associated with financial services + Excellent spoken and written communication skills who can adapt style and approach to the audience… more
- JPMorgan Chase (Irvington, 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 through JPMC's licensing program within 180 days of hire, study materials and support provided. + Ability to work branch hours including weekends and… 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
- HSBC (New York, NY)
- …and wallet share. An understanding of the Corporate Sales business, Markets & Securities Services (MSS) products and clients is therefore essential in this role. ... Also essential is a deep knowledge of the products that Strategic and Focus clients typically trade; the role holder should therefore be familiar with, foreign exchange instruments and interest rate derivatives. The primary objective of the role is to manage… more
- Compass Group, North America (New York, NY)
- …any issues with the TD Facility to TD Concierge Owner and/or TD Global Securities and Investigations (GSI) that may impact the safety and security of TD employees. ... -Gathering information for any information technology or facility issue such as inspection(s) of the floor and common area(s) for cleanliness and maintenance (ie, carpet stains) and submitting the request to the applicable area (TD Help Desk or FM WO) and… more