- Citigroup (New York, NY)
- …of key product structures (mutual funds, SMAs, alternatives, ETFs, etc) + FINRA Securities Industry Essentials (SIE), FINRA Series 7 and Series 66 (or 65/63). + ... + Strong analytical and portfolio management skills, including risk management and compliance expertise. + Proven track record in client acquisition and business… more
- Mizuho Corporate Bank (New York, NY)
- …findings, and maintaining and updating the Business Requirement Documents in compliance with regulatory requirements. + Support preparation of Regulatory Reporting ... culture. + Working knowledge of financial products (eg loans, deposits, securities , derivatives, money market products, repos etc.). Knowledge of regulatory… more
- Citizens (New York, NY)
- …of their responsibilities, the associate will be expected to study for and pass the Securities Industry Essentials (SIE) exam as well as the Series 86 and Series 87 ... skills + Strong leadership and team working skills + Superior work ethic + In compliance with federal law, all persons hired will be required to verify identity and… more
- JPMorgan Chase (New York, NY)
- …market changes and identify digitization opportunities. + Work with legal, compliance and control officers on implementation of deliveries. + Provide technical ... using data-driven analysis. **Required Qualifications, Capabilities, and Skills** + Rates ( Securities and/or Derivatives) knowledge and experience is a must. +… more
- MUFG (New York, NY)
- …visualizing risk data, ultimately supporting critical decision-making and regulatory compliance . Risk Technology is undergoing a significant transformation, driven ... 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