- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain...and regulations with the ability to assess firm impact. Series 7, 63, 24 a plus. + Typically minimum… more
- Wells Fargo (New York, NY)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Wells Fargo (Commack, NY)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Truist (New York, NY)
- …and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include ... assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements. 2.… more
- Wells Fargo (New York, NY)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... Share Rights or other long-term incentive awards. **Required Qualifications:** + 6 + months of Investment Banking Program experience, or equivalent demonstrated… more
- Veterans Affairs, Veterans Health Administration (Bath, NY)
- …concerning appropriate notifications. Work Schedule: Tues-Sat, Tues-Fri will be 10:30am- 6 :00pm and Sat 7:30am-4pm Recruitment Incentive (Sign-on Bonus): Not ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...the impact of psychosocial problems on health care and compliance with treatment. Reference: For more information on this… more
- NBT Bank (Fairport, NY)
- …team player and high quality service provider. Unique Job Characteristics and Requirements: NASD Series 6 and Life License. Series 7 preferred. If not ... available across the company. + EEO is the law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/ compliance /posters/pdf/eeopost.pdf) + EEO is the Law Poster Supplement +… more
- City of New York (New York, NY)
- …Health Academy. They supervise instructors and educate the public through a series of engaging courses focused on food service establishments. DUTIES WILL INCLUDE ... for online courses and external approved providers and ensure compliance with training standards. Maintain permanent records of classes...physical and/or biological sciences, of which not more than 6 credit hours may be in the applied sciences,… more
- New York State Civil Service (Westhampton Beach, NY)
- …facilities operations and maintenance, engineering, physical plant operations or similar title series and experience supervising six ( 6 ) or more employees ... contractors; by monitoring and inspecting their work activities to ensure compliance to contract specifications and plans.* Provide daily oversight and supervision… more
- Veterans Affairs, Veterans Health Administration (Albany, NY)
- …codes and standards. Supervise and administer construction activities, ensuring compliance with all contractual requirements and healthcare regulations. Ensure ... Perform COR duties for design and construction contracts, ensuring contractor compliance , quality, and proper contract administration. Support the operation and… more