- CIBC (New York, NY)
- …or within internal audit a plus + Professional licenses and certifications desired (SIE, FINRA Series 7 , CCOS or IACCP a plus) + Working knowledge of swap dealer ... + High degree of integrity and strong work ethic Preferred Qualifications: + 5- 7 years of registered US broker-dealer compliance and risk management experience +… more
- Guardian Life (New York, NY)
- …+ 3 or more years of extensive industry experience + Securities license preferred ( Series 7 or 6) + Knowledge of retail client onboarding/new account process, ... career, surrounded by diverse colleagues with high ethical standards. **Inspire Well-Being** As part of Guardian's Purpose - to inspire well-being - we are committed… more