- MUFG (New York, NY)
- …to exposure on both a transaction and group level. + Ensure compliance with policy and regulatory requirements. **Requirements:** + Bachelor's degree, CFA candidacy ... 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
- Mizuho Corporate Bank (New York, NY)
- …procedure documentations related to new and existing regulatory requirements to ensure firm's compliance . + Keep track of each assigned tasks and projects, and meet ... EUC controls. + Working knowledge of financial products (eg loans, deposits, securities , derivatives, money market products, repos etc.). + Strong ability to handle… more
- Citigroup (Getzville, NY)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Moss Adams LLP (New York, NY)
- …firms' Valuation group is recognized as a leader in the valuation of businesses, securities , and intangible assets for a wide range of tax, transaction and ... compliance purposes. Individuals who thrive at Moss Adams exhibit the following success skills - Collaboration, Critical Thinking, Emotional Intelligence, Executive… more
- SUNY Westchester Community College (Valhalla, NY)
- …accounts receivable, state and federal grants, gifts, rents and royalties, investments, securities , and real estate; + Serves as the primary liaison to County ... affairs of the college, or as assigned by the President; + Ensures regulatory compliance and provides timely delivery of a wide array of business, facilities and… more
- MUFG (New York, NY)
- …focused on solving some of the bank's most pressing data challenges-not just for compliance , but for real business value. This is a rare opportunity to shape how ... 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
- Bank of America (New York, NY)
- …and Risk on behalf of the client to structure sound loans including securities based loans, Commercial real estate loans, Recreational real estate loans, Hedge Fund ... of loan opportunities; and, o Assessing existing portfolio of loans ensuring compliance with financial covenants and reporting, resolving margin calls, and debt… more
- Foresters Financial Services (Westbury, NY)
- …of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School diploma or equivalent + ... Cetera Financial Specialists (https://www.cetera.com/firms/cetera-financial-specialists) , First Allied Securities and Summit Brokerage Services (https://www.cetera.com/firms/summit-brokerage-services-inc) .… more
- Citigroup (New York, NY)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... with other sales consultants and junior staff. + Always ensures compliance with regulatory requirements including Citi's policies and guidelines. + Appropriately… more
- Citigroup (New York, NY)
- …including corporate and emerging market bonds, asset-backed and mortgage-backed securities , collateralized loan obligations, short term interest rate products, ... firm's reputation and safeguarding Citi, its clients, and assets, by driving compliance with applicable laws, rules, and regulations, adhering to Citi policy,… more