- 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
- 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
- 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
- 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
- BlackRock (New York, NY)
- …government bonds, investment grade and high yield credit, Agency mortgage-backed securities , and securitized products (CMBS, ABS, Non-Agency MBS and CLOs). Clients ... include pension funds, corporate treasury departments and retail investors, with portfolio types spanning separate accounts, mutual funds, ETFs and closed end funds. The disparate nature of the client base results in portfolios with varying alpha targets and… more
- M&T Bank (New York, NY)
- …services (including custody, corporate trust, fund administration, and securities services) and wealth management (including private banking, investment ... advisory, and trust services). Ensure legal coverage aligns with business priorities and regulatory expectations. + Deliver expert legal advice on federal and state regulatory compliance, including: + Investment Company Act of 1940 + Investment Advisors Act of… more
- Raymond James Financial, Inc. (Depew, NY)
- …methods + Basic investment concepts, practices and procedures used in the securities industry + Financial markets, products and industry regulations **Skill in** + ... Client Relationship Management (CRM) software + Microsoft Office + Effective communication (in-person, virtual, phone and mail) **Ability to** + Operate standard office equipment and use required software applications to produce correspondence, reports,… 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
- 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
- Janus Henderson Investors (New York, 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