- Raymond James Financial, Inc. (New York, NY)
- …Banking. * Fundamental investment concepts, practices and procedures used in the securities industry. * Financial markets and products. **Skill in** * Communicating ... effectively, both orally and in writing. * Analytical skills sufficient to assess and explain events in the market. * Problem solving. * Operating standard office equipment's and using required software applications, including Microsoft Office and established… more
- CS Energy (Albany, 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
- 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
- Raymond James Financial, Inc. (New York, NY)
- …observations + Perform other duties and responsibilities as assigned + Securities licensing preferred **Knowledge, Skills, and Abilities** **Advanced Knowledge of:** ... + Records Management processes and functions, including record retention methods and technologies + Laws and regulations governing financial services firms, with an emphasis on record retention requirements and industry best practices + Concepts and… more
- KeyBank (Amherst, NY)
- …management products and services (eg - trust, private banking, securities /investment management) as well trust/fiduciary related compliance, operations, and risk ... management strategies with respect to applicable OCC regulatory expectations and pertinent regulations (eg - 12 CFR 9) required to lead a team in the design and execution of testing. + Effective communication skills (verbal and written) to deliver results to a… more
- Citigroup (New York, NY)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. We enable clients ... to achieve their strategic financial objectives by providing them with cutting-edge ideas, best-in-class products and solutions, and unparalleled access to capital and liquidity. **Overview of the organization:** The CTO organization is responsible for… more
- Wells Fargo (New York, NY)
- …(Coherence/Ignite) + 5+ years of experience working with derivatives and securities products in any of the following areas: technology, finance, regulatory ... reporting, risk, middle office or operations + 5+ years of pricing or risk systems in development experience, familiarity with Calypso + Advanced Microsoft Excel skills, including high level of proficiency in modeling + Knowledge and understanding of… more
- Guardian Life (New York, NY)
- …compliance programs that ensure adherence to company policies and insurance and securities regulations. + Support the development of the compliance team's data ... analytics abilities by promoting collaboration and identifying opportunities for cross-training **You have** + Bachelor's degree in data science or related field. + 4+ years of experience in compliance data analysis. + Experience data analysis used in either… more
- Santander US (New York, NY)
- …securitized products, MBS, RMBS, Agency, Non-Agency, Residential, Commercial, Asset Backed Securities . + Deep understanding of market risk measures, concepts, and ... regulatory rules: VaR, Greeks, and Model Validation Testing. + Strong analytical skills required to understand quantitative models. + Strong knowledge and understanding of the fixed income products. + Strong analytical skills with the ability to understand and… more
- BMO Financial Group (New York, NY)
- …best execution/order handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. ... Series 7, 63, 24 a plus. + Typically minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience. + Recognized compliance certificate or equivalent preferred. + Skilled… more