- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate . **In this role, you will:** + Participate in low complexity lifecycle support ... tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures for which… more
- UMB Bank (Kansas City, MO)
- …Our team is growing and looking for our next teammate! The Custody Operations Specialist position works closely with our Custody Administrators to support all large ... institutional custody clients, both global and domestic. The Operations Specialist role is responsible for performing complex processing, maintenance, and moderately… more
- UMB Bank (Kansas City, MO)
- The Operations Team Manager I role will lead and provide guidance and direction to our Money Market/Mutual Funds & Asset Review team. This role will also work ... In this position you will: You will be responsible for supervising daily operations activities and ensuring our staff is properly developed to carry out their… more
- Cardinal Health (Jefferson City, MO)
- …legal advice and services in order to protect the organization's assets, operations and image. This function provides legal counsel related to commercial, corporate ... securities , intellectual property, labor and employment, and regulatory law,...company legal matters, manages outside counsel and manages legal operations . Legal Management provides strategic oversight, leadership and direction… more
- Edward Jones (St. Louis, MO)
- …area in Financial Crimes. **Key Responsibilities:** + Monitor information barriers, associate personal account dealing, and potential conflicts associated with the ... firm's investment advisory programs, trading operations and other sensitive areas + Develop and maintain...Overview **Skills/Requirements** + Bachelor's degree preferred. + 5+ years securities industry experience with minimum 3+ years in a… more
- Citigroup (O'Fallon, MO)
- …loop process + Handles all inquiries/requests related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 ... required) + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy + Ensures that KYC/AML and other compliance norms are strictly adhered to + Builds a rapport with clients; utilizes Salesforce regularly for communication… more
- Edward Jones (St. Louis, MO)
- …accountability, and provide strategic leadership to safeguard the firm's technology operations . **What you'll do:** + Develop and implement a comprehensive ... as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA… more
- Edward Jones (St. Louis, MO)
- …our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch ... Planning processes in alignment with the Division objectives while balancing the Associate and Branch experience. 7. Participate and contribute in projects driving… more