• Director of Information Systems (IT Computer…

    CUNY (New York, NY)
    Director of Information Systems (IT Computer Systems Manager 6 ) - Provisional **GENERAL DUTIES** IT Computer Systems Managers manage and direct an Information ... through automation, monitoring, and patch management aligned with ITIL and federal compliance standards. Key responsibilities include, but are not limited to the… more
    CUNY (07/18/25)
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  • Senior Compliance Officer - Fixed Income

    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
    BMO Financial Group (08/09/25)
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  • Relationship Banker Upper Manhattan

    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 (08/29/25)
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  • Senior Premier Banker Upper Manhattan

    Wells Fargo (New York, 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
    Wells Fargo (08/29/25)
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  • Manager, PCG Branch Exams

    Raymond James Financial, Inc. (New York, NY)
    …+ Bachelor's Degree (BA/BS) in a related discipline and a minimum of six ( 6 ) years of experience in Compliance and/or the financial services industry. ~or~ ... key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies organizational… more
    Raymond James Financial, Inc. (08/27/25)
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  • Business Unit Risk Specialist - FINRA

    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
    Truist (08/15/25)
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  • Investment Banking Program Analyst (New York)…

    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
    Wells Fargo (07/15/25)
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  • Financial Consultant

    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
    NBT Bank (08/08/25)
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  • Senior Instructor, Bureau of Food Safety…

    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
    City of New York (06/27/25)
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  • Maintenance Supervisor 4

    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
    New York State Civil Service (08/29/25)
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