- Equitable (Troy, MI)
- …support needs. + Administering New Business Training + Proactively partner with compliance and licensing partners on best practices when reviewing new business + ... with Microsoft office tools * Experience in or knowledge of insurance, securities , or financial services * Good judgement and decision-making skills * Understands… more
- Bank of America (Wayzata, MN)
- …customers of product/pricing policies and guidelines, while maintaining regulatory and compliance requirements of the Line of Business. This position is subject ... credit solutions, ranging from standard to custom mortgage products and other securities -based lending. + A bachelor's degree in business or related field… more
- M&T Bank (Wilmington, DE)
- …ensure client goals and objectives are achieved. + Adhere to applicable compliance /operational risk controls in accordance with Company or regulatory standards and ... record of implementing wealth management strategies **Education and Experience Preferred:** Securities licensing, CFP, CTFA, CPA designation MBA (Master's degree in… more
- MUFG (Tampa, FL)
- …and efficient manner. **Main Responsibilities:** * Execution of test plans in compliance with applicable policies and guidance within the BURCO function, including ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Truist (Norcross, GA)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, 66 (63 and 65 in lieu of 66)… more
- Citigroup (Baton Rouge, LA)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... + Establish relationships with cross-functional areas including Business, Technology, and Compliance stakeholders and serve as a SECURITY subject-matter expert +… more
- Citigroup (Jersey City, NJ)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... enforce secure coding practices, performing vulnerability assessments and ensuring compliance with security standards. + Collaborate effectively in agile… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …with project stakeholders. * Delivers systems on appropriate platforms in compliance with established technology standards. Monitors testing and executes quality ... support and technical documentation. * Principles of banking and finance and securities industry operations. * Business planning and analysis. * Project budget… more
- HSBC (New York, NY)
- …+ The primary focus of this role is repo and financing of US Treasury securities as well as corporate bonds. However, because the team size is smaller, the candidate ... and all supporting functions. + Series 7 and 63 licenses required In compliance with applicable laws, HSBC is committed to employing only those who are… more
- Huntington National Bank (Flint, MI)
- …with relationships of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. Basic ... If applicable, registration and additional qualifications required. Preferred Qualifications: + Securities and life insurance licenses preferred but not required. +… more