- 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
- 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 (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
- 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
- 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 (Syracuse, NY)
- …Z (LO) outlined in the job expectations below **Required Qualifications:** + 6 + months of Customer Service, Sales, Relationship Building experience, or equivalent ... exam or equivalent **Desired Qualifications:** + Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams...+ Financial services experience + Client services experience + 6 + months of client or sales services experience… 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
- 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
- Wells Fargo (New York, NY)
- …training, military experience, education **Desired Qualifications:** + BS/BA degree or higher + 6 + years of corporate access experience at a large investment bank + ... + Up to 50% travel + Registration for FINRA Series 7 must be completed within 90 days of...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more