- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Representative in Business Operations as part of Transactions & Processing ... and compliance requirements **Required Qualifications, US:** + 4+ years of Securities Operations experience, or equivalent experience demonstrated through one… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Representative in Business Operations as part of Transactions & Processing ... projects and testing initiative **Required Qualifications:** + 4+ years of Securities Operations experience, or equivalent experience demonstrated through one… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as ... as a dually registered broker-dealer and investment adviser. The incumbent will lead the implementation and interpretation of applicable SEC, FINRA, MSRB laws and… more
- MassMutual (Boston, MA)
- …for the ensuring the integrity of the accounting information received from the Investment Operations securities system. This team will be highly focused on the ... to the operational accounting impacts of the investment operations processes. The position will lead a...team will work closely with its critical partner, Investment Operations and Securities Controllership. The team will… more
- MassMutual (Boston, MA)
- …for the ensuring the integrity of the accounting information received from the Investment Operations securities system. This team will be highly focused on the ... vision that provides for the effective controls of operational securities accounting. + Stand up and lead ...+ Partner with teams, including but not limited to Securities Controllership. Investment Operations , Treasury, and ERM… more
- Manulife (Boston, MA)
- …around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help ... for oversight of operational processes for the Funds. The Fund Operations Analyst has individual responsibilities cross departmental projects in certain areas… more
- Morgan Stanley (Alpharetta, GA)
- …global financial services firm providing a wide range of investment banking, securities , wealth management and investment management services. With offices in more ... Management (manage contract lifecycle and record retention), and Client Operations (new account workflow, activities, billing, and audit/oversight). *ABOUT THE… more
- Scotiabank (New York, NY)
- …year, 40 hours per week. Financial Industry Regulatory Authority General Securities Representative Exam required. Financial Industry Regulatory Authority 1-87 ... (USA), Inc. seeks Director, Equity Research Analyst in San Francisco, CA to lead the US technology vertical coverage by conducting in-depth industry analysis and… more
- SMBC (New York, NY)
- …broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations ; US and LATAM representative offices; Grand Cayman Branch; Canada ... 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
- Manulife (Boston, MA)
- …around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help ... staff. 4. Contribute to credit analysis and/or analysis of classes of securities , market trends, yield and duration relationships, and pricing trends between… more
- City of Reno, NV (Reno, NV)
- …and participates in the work of staff responsible for the activities and operations of the Police Records Section within the Police Department including the ... supervise, review, and direct the work of staff responsible for the daily operations of the Police Department's Records Section including Work Applicant Unit, ,… more
- Medtronic (TX)
- …communications and change plans + Actively participate as a key member of the Operations leadership teams + Lead the effort to support, monitor, communicate the ... and scheduling + Coordinate Quarterly and Functional Review calendar + Consolidate Monthly Operations Review (MOR) reporting + Travel planning + Expense reporting + … more
- Truist (Charlotte, NC)
- …and general management of Wholesale and Capital Management Operations through effective origination, fulfillment, servicing, administration, support and ... life-of-loan and securities activities. This position requires deep subject matter expertise...This position requires deep subject matter expertise in banking operations platforms across the commercial community bank, corporate and… more
- Citigroup (New York, NY)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities ... a must, while knowledge of AML and financial services operations across all business lines is a plus. As...across all business lines is a plus. As a representative and extension of the ICRM AML team, this… more
- EMCOR Group (Farmingdale, NY)
- …compliance, proper records maintenance, and adequate accounting controls in support of Company operations . + Prepare for and lead monthly project reviews with ... accounting principles issued by the Financial Accounting Standards Board, the Securities and Exchange Commission, and other regulatory and advisory organizations and… more
- Truist (Atlanta, GA)
- …within business units to ensure accuracy, consistency, and aggregation. 2. Lead complex or high-risk review initiatives; ensuring effective and appropriate testing, ... peers. **QUALIFICATIONS** **Required Qualifications:** The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable… more
- Truist (Charlotte, NC)
- …to time. 1. Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems ... view of overall transaction and escalate complex matters to Team Lead and/or Divisional Sales Management. 2. Review of Electronic Correspondence/Social Media… more
- Manulife (Boston, MA)
- …around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help ... to private equity co-investments, private equity funds ("Fund-of-Funds"), mezzanine securities , leveraged senior loans, and GP-led secondaries through separately… more