- BlackRock (New York, NY)
- …able to effectively manage compliance risk and help ensure compliance with regulatory requirements and applicable BlackRock policies and procedures relating to 1940 ... of new regulations + Implement compliance programs/control frameworks relevant to regulatory risks and legal requirements, including development of policies and… more
- JPMorgan Chase (Pittsford, NY)
- …crucial role in ensuring high-quality work and adapting to the changing regulatory environment. Your efforts will help us identify trends and opportunities, driving ... + Ensure team members understand their responsibilities and adapt to regulatory changes, maintaining high-quality work standards. + Identify and resolve issues,… more
- Wells Fargo (New York, NY)
- …subject to statutory disqualification Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable… more
- MUFG (New York, NY)
- …fostering innovation to adapt to the evolving needs of the business and regulatory landscape + Develop and implement strategies to streamline P&L reporting, ensuring ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- MUFG (New York, NY)
- …for management **Policy Compliance** + Ensure compliance with external regulatory /internal policy and procedural requirements + Participate in ad-hoc policy ... not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major… more
- JPMorgan Chase (New York, NY)
- …engage in the creation and management of new and existing funds, navigate regulatory developments, and offer legal guidance to the JPMorgan Funds' Boards of ... and management of mutual funds and exchange-traded funds. + Advise on regulatory developments and their implementation. + Provide legal support to the JPMorgan… more
- JPMorgan Chase (New York, NY)
- …trading desk on emergent daily trading questions + Stay current and advise on regulatory updates (SEC, NFA, DOL, etc.) impacting our business + Oversee and review ... team environment and embrace collaboration + **Motivated:** Demonstrates a passion for regulatory best practices and a desire to learn about investment concepts +… more
- MUFG (New York, NY)
- …and capability transfer to clients (as needed) + Ensure compliance with regulatory requirements and industry best practices in the deployment and management of ... hands-on experience creating and evaluating comprehensive processes in a regulatory environment + Experience in the financial services industry preferred,… more
- JPMorgan Chase (New York, NY)
- …approach + Strictly adhere to all risk and control policies, regulatory guidelines and security measures **Required Qualifications, Capabilities, and Skills** + ... Six plus years of work experience in Private Banking or Financial Services + Bachelor's Degree required + Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but required to obtain licenses within 90 days of start date… more
- JPMorgan Chase (New York, NY)
- …collaboration with internal functions, adhering to company policies and regulatory changes. **Required Qualifications, Capabilities, and Skills:** + Extensive ... experience in wealth management, ideally in recruiting, business development, or field leadership. + Strong verbal and written communication skills, with professionalism in a fast-paced and dynamic environment. + Strategic thinking and analytical skills,… more
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