- City of New York (New York, NY)
- …City agencies to help the City and its related issuers develop post-issuance compliance policies and procedures in accordance with securities laws. - Tracking, ... procedures related to their annual financial audits and is responsible for compliance with federal regulations that require the public disclosure of financial… more
- CS Energy (Albany, NY)
- …with specific focus on vital terms such as, force majeure, notifications, schedule, LDs, IRA compliance , and other risks and compliance items + Not only have a ... understanding of client specifications and requirements but also ensure compliance during pre-planning, preconstruction, construction, and closeout. + Work with… more
- Wells Fargo (New York, NY)
- …business processes. **Required Qualifications, US:** + 5+ years of Securities Quantitative Analytics experience, or equivalent demonstrated through one or ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Citigroup (Getzville, NY)
- …which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3), a Tier 2 US ... strength of the internal control framework (known as the 17a-5 Annual Compliance Report). Internally, this role regularly interfaces with NY-based Markets businesses… more
- Raymond James Financial, Inc. (New York, NY)
- …will be the strategic and operational lead for the firm's global sanctions compliance program. Reporting to the Chief AML Officer, you'll be responsible for ensuring ... Lead the end-to-end design, execution, and oversight of the firm's sanctions compliance program + Establishes operational objectives and work plans. + Develops,… more
- MUFG (New York, NY)
- …+ Maintain close working relationships with Front Office, Operations, Risk, Audit, Compliance and Regulatory departments to ensure needs and regulations are met. ... **Controls & Compliance ** + Ensure compliance with the Firm's...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- KeyBank (NY)
- …business policies and procedures are consistent with current applicable banking and securities rules, regulations, and laws. - Respond to internal and external ... required. - Manage 2nd LOD requirements related to the Governance, Risk & Compliance application and Risk Assessment Processes. - Other duties as assigned **REQUIRED… more
- JPMorgan Chase (White Plains, NY)
- …degree, GED, or foreign equivalent + Beginning October 1, 2018, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 ... within established risk parameters/tolerances and meets internal/external risk and compliance obligations, including completion of required training + Excellent… 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 ... and its businesses; demonstrate business acumen. * Identify legal and compliance issues and risks, and escalate appropriately, exercising sound judgment about… more
- JPMorgan Chase (Monroe, NY)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more