- ADP (Melville, NY)
- …meaningful impact. **Bonus points for these:** _Preferred Qualifications_ + Securities Industry Essentials (SIE) and Financial Industry Regulatory Authority (FINRA) ... and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- JPMorgan Chase (New York, NY)
- Join JPMorgan Chase in Risk Management and Compliance , where you'll play a crucial role in maintaining the firm's strength and resilience. Use your expertise to ... the firm's diverse investment portfolio, including fixed income products like asset-backed securities and government bonds. As an Associate in Credit Risk Management… more
- Capital One (New York, NY)
- …of experience working in Product Management + At least 7 years of experience in securities origination or trading management in Capital Markets + At least 7 years of ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- Wells Fargo (New York, NY)
- …information security, interest rate, liquidity, market, model, operational, regulatory compliance , reputation, strategic, and technology risk. The group provides ... requirements and the executive as a Board member for Wells Fargo Securities International Limited, Wells Fargo Bank International UC and Wells Fargo International… more
- MUFG (New York, NY)
- …reviewer for Product & Services risk assessments + Perform sample-based framework compliance testing (e,g, QA, testing or monitoring) + Provide advisory support for ... 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… more
- Snap Inc. (New York, NY)
- …developing Snap's training, policies, and practices to promote awareness and compliance with rules and regulations. + Manage corporate governance and administration ... as Forms 3, 4, 5, and 10-K, and advise on other related securities law matters. + Assist cross-functional efforts to support environmental, social and governance… more
- HSBC (New York, NY)
- …policy advocacy initiatives with US regulators (including banking, financial, securities , and derivatives regulators), collaborating with Legal, Public Affairs, and ... and its culture and the ability to handle increasingly complex legal issues In compliance with applicable laws, HSBC is committed to employing only those who are… more
- Raymond James Financial, Inc. (New York, NY)
- …Banking. + Fundamental investment concepts, practices and procedures used in the securities industry. + Concepts, practices and procedures of Tax and Accounting. + ... + Remain cognizant of our commitment to daily workflow and regulatory compliance during high volume activity. + Think independently on matters of significance… more
- MUFG (New York, NY)
- …with Middle and Back Offices for the Conduits. + Daily maturity limit and compliance monitoring for ABCP program + Contact with clients for all funding matters. + ... 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… more
- TD Bank (New York, NY)
- …in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + Undergraduate degree ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more