- 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
- 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
- Citigroup (Getzville, NY)
- …+ Consistently demonstrated clear and concise written and verbal communication + Required Licensing/Registration: Series 7, Series 9 , Series 10, ... operations and end results + Assist with overseeing the risk control environment, compliance efforts to follow policies and procedures and keep abreast of Citi's… 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 ... key parties within Divisional Management, Supervision, and other areas within compliance to address escalation items. + Interprets and applies organizational… 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
- Citigroup (Getzville, NY)
- …maintain these standards. **Qualifications:** + 5-8 years of relevant experience + Required 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
- Bank of America (New York, NY)
- …building, leading, managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series 9 & 10 ... participants who require heightened support to achieve success + Help reinforce compliance , supervision, and provide risk management support of ADP participants and… 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