- Tools for Humanity (San Francisco, CA)
- …and other partners to ensure regulatory compliance in areas such as securities , AML/CFT, consumer protection, litigation, trade, intellectual property, and labor. We ... the Opportunity: We are seeking an experienced and Legal Operations Manager to join our dynamic legal team at...This is a unique opportunity to shape our legal operations processes and leverage the work of our legal… more
- SBB Research Group (Northbrook, IL)
- …and DDQs. Monitor legal and regulatory developments and adapt firm policies and operations as needed. Provide legal advice to executives with respect to a variety ... an investment management firm. Solid understanding of the asset management industry, securities markets, and private equity funds. Experience with fund operations… more
- Terns Pharmaceuticals (San Mateo, CA)
- …The ideal candidate will bring a deep understanding of public company legal operations , exceptional attention to detail, and a commitment to ethical excellence. This ... records in legal databases. Conduct research and draft summaries related to securities laws, biotech and corporate governance trends. Prepare and execute NDAs, CDAs,… more
- NYL Ragsdale Group (Newark, DE)
- …hold a Master of Business Administration degree *Proficiency in overseeing sales operations or a Master's degree in Business Administration is a mandatory ... requirement *Future acquisition of Securities Licenses (SIE, 6, and 63) is necessary for this position *Consistently meeting performance targets is a prerequisite… more
- DWS Group (New York, NY)
- …the individual will primarily focus on trading Non-Agency Securitized Credit Securities for mutual funds, institutional accounts and ETFs Your Key Responsibilities: ... to improve scalability and efficiency. Successful relationship and interactions with Operations , Technology, Compliance, Risk and Audit. Your Skills & Experience:… more
- Guardian Life (Bethlehem, PA)
- **2026 Guardian Summer Intern,** **Park Avenue Securities Operations ** Our 2026 Internship Program is a paid 10-week learning experience where you will be ... immersed in the daily environment of a thriving global financial services company. You will gain invaluable industry and organizational knowledge through daily business interactions and job assignments, in addition to engaging in projects that directly affect… more
- UMB Bank (Kansas City, MO)
- The Securities Services Operations Associate is a part of the Trust Operations team that assists in the safekeeping and valuation for securities in our ... scenarios while maintaining flexibility and adaptability to client needs. Our Securities Services Operations Associates are motivated to be self-driven… more
- City National Bank (Newark, DE)
- *INVESTMENT OPERATIONS SECURITIES SPECIALIST SENIOR* WHAT IS THE OPPORTUNITY? The Senior Securities Specialist will support responsibilities assigned to the ... 6 years of experience with procedures, practices and regulations governing trust- securities operations . *Additional Qualifications* * Requires interpretation and… more
- Banco Popular Puerto Rico (San Juan, PR)
- …2025 Location: San Juan, PR Company: Popular Workplace Type: On-site Technical Assistant | Operations Popular Securities Job Type Full Time - Non Exempt General ... - Set up automatic plans to buy and sell securities . * Link bank accounts - Review all applicable...procedures before link bank accounts. * Back up to operations personnel as needed. Education Bachelor's Degree or equivalent… more
- JPMorgan Chase (New York, NY)
- …+ Analyze and assess the impact of legal and regulatory developments on Securities Services operations and client offerings + Support new business initiatives, ... for a top tier financial institution that does cutting-edge work. As a Securities Services Attorney - Executive Director on JPMorgan's Securities Services legal… more
- JPMorgan Chase (Brooklyn, NY)
- Join the Securities Services Operations Business Management team as a high-performing Vice President , playing a key role in the successful delivery and ... strategies. You will work closely with senior Managing Directors within Securities Services Operations and their Leadership Teams to provide outstanding… more
- SMBC (Jersey City, NJ)
- …to global institutional clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Citigroup (Tampa, FL)
- …for securities transaction processing execution + Typically related to Securities Clearance Settlement and Derivative Operations + This may include ... **Education:** + Bachelor's/University degree or equivalent experience **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and… more
- SMBC (Charlotte, NC)
- …to global institutional clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. ... business. This role is an extension of the broader New York based Securities Operations team. The role reports to the Head of Middle Office and Settlements to… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within our Securities Tax Operations team as a part of ... Corporate Investment Banking Operations . Learn more about the career areas and business...withholding statements) + Extensive knowledge and understanding of loan, securities , and derivative products + Knowledge and understanding of… more
- T. Rowe Price (Baltimore, MD)
- …and interpreting process controls. + Serves as a primary liaison between securities operations staff, relationship managers, portfolio managers, trustees, and ... bank loan activity across T. Rowe Price investments, trading, and operations teams. Identifies, drives, and implements process improvement initiatives with a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Knowledge of** **:** + Foundational understanding of financial markets, products, and securities industry operations . + Basic principles of risk management, ... across business systems. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Skill in** **:** + Effective… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Skill in** + ... and procedures. + Lead in the development of branch and deposit operations processes and procedures. + Participates in establishing objectives and developing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …documentation. + System analysis and business process modeling. + Principles of securities industry operations . + Business planning and analysis. **Preferred:** ... of the team through training, coaching, and mentoring. + Contribute to reviewing existing operations in own area of work, and generate new ideas to assist in… more
- Raymond James Financial, Inc. (Memphis, TN)
- …in the securities industry. + Principles of banking and finance and securities industry operations . + Financial markets and products. **Skill in:** + ... and Abilities** **Advanced Knowledge of:** + Concepts, practices, and procedures of securities industry and/or banking compliance reviews. + Rules and regulations of… more
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