- Citigroup (New York, NY)
- …the role** The Finance Regulatory Engagement Communications and Reporting Senior Vice President is a strategic professional who manages the end-to-end ... retention strategy and related risk and controls activities. + Support Regulatory Exam Management and Regulatory engagement teams, performing other duties… more
- Wells Fargo (New York, NY)
- …this role:** The Tech, Media & Telecom (TMT) Investment Banking group is seeking a Vice President , Internet, to join its New York City office. The Internet team ... deal execution. **In this role, you will:** + The Vice President will be responsible for independently...**Job Expectations** + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire… more
- SMBC (Jersey City, NJ)
- …Description** Within the Compliance Operations Department, the KYC Advisory & Controls Vice President is responsible for promoting oversight and control within ... This role will require tracking of all audit and exam related requests as well as ensure a timely...SMBC and Head Office. The KYC Advisory & Controls Vice President may direct the day-to-day work… more
- Raymond James Financial, Inc. (New York, NY)
- …Manager Experience - More than 15 years **Certifications** Securities Industry Essentials Exam (SIE) - Financial Industry Regulatory Authority (FINRA) **Salary ... Range** $130,000.00-$250000.00 **Travel** Less than 25% **Workstyle** Resident At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity,… more
- State of New York Mortgage Agency (New York, NY)
- …to be carried in the legal department, at the discretion of the Senior Vice President /General Counsel and the Deputy Counsel for Compliance. QUALIFICATIONS: + ... affordable housing and increase homeownership throughout New York State. A Civil Service exam is not required for this position. Candidates must meet the minimum… more