- 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 ... orientation. * Remain cognizant of our commitment to daily workflow and regulatory compliance during high volume activity. * Think independently in order to market… more
- MUFG (New York, NY)
- …and collaboration with Credit/Risk Teams + Be accountable for ensuring compliance with all internal and external regulations, guidelines, standards and procedures ... 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
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more
- Mizuho Corporate Bank (New York, NY)
- …management and strategic transaction development to execute banking and securities mandates and originate idea generation for potential acquisitions, divestitures ... debt issuances. + Coordinate with internal teams, including syndicate, legal, and compliance , to ensure smooth deal execution and adherence to regulatory guidelines.… more
- Raymond James Financial, Inc. (New York, NY)
- …Trading Systems, Smart Order Routers, and CSA management. + Regulations and Compliance . + TCA and Data Analytics, network concepts, topologies, and technologies. + ... Principles of banking and finance and securities industry operations. **Skill in:** + Using technical/professional knowledge and interpersonal skills to obtain… more
- New York State Civil Service (Albany, NY)
- …of the financial services industry, including risk management and compliance requirements.The Department of Financial Services is seeking candidates for ... development. * Reviewing traded products, related derivative and cash securities pricing techniques, Value-at-Risk, and/or counterparty credit risk modeling… more
- MUFG (New York, NY)
- …as sponsors + Collaboration and partnership with internal support teams (Risk, Compliance , Legal, IT and Finance, etc.) to promote business priorities + Developing ... 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
- Lincoln Financial (Albany, NY)
- …sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products + Identify ... and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years'… more
- Bank of America (New York, NY)
- …job is responsible for providing advanced end-to-end operational support for securities , loans, exchange traded derivatives and over the counter derivatives across ... across Global Markets teams (ops, trading, sales, risk, credit, COOs, legal, compliance , technology) to resolve issues quickly and minimize risk impact + Proactively… more
- NBT Bank (Fairport, NY)
- …Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations. + Strong communication and PC ... skills. + Unblemished compliance record. + Demonstrated team player and high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and… more