- Citigroup (New York, NY)
- …+ Required: US FINRA Registration: SIE; Series 7; Series 63 + Series 65 (or Series 66); Series 9 + Series 10 (or Series 24, Series ... CPWM and the franchise. This includes heads of HR, Legal, Risk, Compliance , ICG, Mortgage, Retail Bank, Commercial Bank, and Capital Markets. + Represents… more
- Bank of America (New York, NY)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... Description:** This job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill Wealth Management… more
- Wells Fargo (Purchase, NY)
- …to qualify for immediate FINRA registration. Series 24 is required if Series 9 and 10 examinations are not held. **Desired Qualifications:** + Ability ... all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +...is required for ongoing employment in this position. FINRA Series 9 and 10 examinations or equivalent… more
- Bank of America (New York, NY)
- …+ Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent ... transactions and operations to drive risk management best practices and ensure compliance with policies and procedures, while preparing to effectively manage any… more
- Wells Fargo (New York, NY)
- …while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and ... recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 180...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Citigroup (Getzville, NY)
- …issues with transparency. **Qualifications:** + 2-5 years of relevant experience + Recommended licensing/registration: Series 7, Series 9 , Series 10, ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Raymond James Financial, Inc. (New York, NY)
- …a Series 7, 24 or willing to obtain within 120 days of employment o Series 9 and 10 can be used instead of the 24 * Additional licenses/certifications ... Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related… more
- ATP Flight School (Ronkonkoma, NY)
- …You will have to be located at or willing to relocate to one of the 9 maintenance locations. DAB, PIE, CRG, FTM, FFC,LZU, JQF, HEF or ISP airport. Additional address ... inspections of aircraft wing and wing attach structures using Olympus Nortec 500/600 Series eddy current flaw detectors. The ideal candidate will play a critical… more
- CUNY (New York, NY)
- …to support the university's shared services IT initiative. This role ensures compliance with federal regulations (PCI DSS, FERPA, GLBA) while safeguarding sensitive ... and business continuity. + Leads application development, ensures security and compliance within complex enterprise-scale new technologies and system requirements. +… more
- CUNY (New York, NY)
- …Zerto, and Veeam for backup, replication, and business continuity. + Ensures compliance with industry standards (ISO/IEC 27001, NIST, CIS benchmarks) and maintains ... this Competitive title/position in the Classified Civil Service Title Series will be made with a Provisional status. Employees..."3" above on the following basis: **A.** 30 to 59. 9 semester credits substitute for 1 year of experience;… more