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Full-service Regional Brokerage and Investment Banking Firm jobs - New York, NY

Viewing 1 - 10 of 1,829 jobs

  • Licensed Financial Specialist

    PNC - Leonia, NJ

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    18 days ago from PNC Bank

  • Global Compliance Services & Strategy - Investment Bank

    Compliance Search Group - New York City, NY

    the firm’s mission to live out agreed values and purpose and meet regulatory requirements. Investment Bank Policies ... and key stakeholders regarding regulations and firm requirements. • Liaise with Compliance Advisory teams and functions...

    27 days ago from The Ladders

  • Licensed Financial Specialist - Engelwood

    PNC - Englewood, NJ

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    14 days ago from PNC Bank

  • Investment Banking Compliance - AVP / VP

    Compliance Search Group - New York City, NY

    Investment Banking Compliance – AVP/VP A Global bank seeks an Investment Banking Compliance (IB) – AVP/VP who will be re ... laws and regulations. Extensive knowledge of investment banking activities and in-depth product knowledge a plus Team...

    24 days ago from The Ladders

  • Compliance Director Retail Banking

    Cameron Craig Group - New York City, NY

    firm representing job openings in virtually every industry and job function across the country. We combine the efforts ... and compliance training through both periodic reports and participation in management meetings and committees. Job...

    1 day ago from ZipRecruiter

  • Senior Human Resources Generalist (Employee Relations)

    Full-service Regional Brokerage and Investment Banking Firm - New York City, NY

    Compensation and Benefits, Employee and Labor Relations and Risk Management. Knowledge of business and management ... Ability to travel as necessary in order to meet business groups needs and expectations with local, regional and/or natio...

    30+ days ago from IvyExec

  • Citi Private Bank Operational Risk Manager

    Citi - Long Island City, NY

    including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth ... with regional ORM staff, in-business risk officers and senior business managers to identify and escalate potential...

    30+ days ago from Citi

  • Compliance Officer Capital Markets and Alternative Investments |

    Compliance Search - New York City, NY

    and comprises various capital markets trading desks and product areas such as structured products and syndicate ... functions on all aspects of a full service brokerage and investment advisory business oriented toward...

    30+ days ago from Doostang

  • Senior Compliance Officer- Investment Banking & Research

    Human Resources Focused Consulting Firm - New York City, NY

    for providing coverage to the Investment Banking and Equity Research businesses of the firm’s SEC and FINRA ... and guidance on rules and regulations to Investment Banking and Equity Research Develop, update and implement...

    30+ days ago from IvyExec

  • Licensed Financial Specialist - Pequannock Township

    PNC - Pompton Plains, NJ

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    14 days ago from PNC Bank

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