- 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
- JPMorgan Chase (Pittsford, NY)
- …+ Beginning Oct. 1, 2018, if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- Citigroup (New York, NY)
- …partnership with Sales team, Product, Technology teams, Risk & Control team, Legal, Compliance & Audit in order to ensure appropriate governance and compliance ... to Citi's Code of Conduct and the Plan of Supervision for Global Markets and Securities Services; and ensure that all team members understand the need to do the… more
- MUFG (New York, NY)
- …validation activities (may occur outside of business hours). + Actively ensures compliance with the Bank's Business Standards of Conduct and all Patriot Act, ... and suspicious activity reporting requirements, and other regulatory and compliance policies and procedures. Successfully completes all requisite corporate and… more
- Citigroup (New York, NY)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- TD Bank (New York, NY)
- …responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ) ... + Ensures that business / department operations are in compliance with applicable internal and external requirements (eg financial...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- HSBC (New York, NY)
- …to within the Corporate and Institutional Banking (CIB) business. The Markets and Securities Services (MSS), Non-Financial Risk (NFR) team is a function that sits ... team members), risk stewards' / control groups (eg Regulatory and Financial Crime Compliance , Legal, Traded Risk, Product Control) and our global product risk team… more
- Nuveen Investments (New York, NY)
- …that has a cycle-tested track record of managing CLOs and investing in CLO securities . Responsibilities will cover a wide range of tasks, from liaising with clients ... such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners… more