- Wells Fargo (Charlotte, NC)
- **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:** + 4+ years of Securities Operations experience, or equivalent experience demonstrated through… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Representative in Trust Center Operations as part of Wealth and Investment ... and compliance requirements **Required Qualifications:** + 4+ years of Securities Operations experience, or equivalent experience demonstrated through… more
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Representative **In this role, you will:** + Perform a variety of operational ... and compliance requirements **Required Qualifications, US:** + 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
- 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
- Scotiabank (New York, NY)
- …US broker dealer and Head of Corporate Functions Compliance, The role will lead and oversee the Markets Compliance and Corporate Functions Compliance teams in the ... and procedures. The Corporate Functions Compliance team ensures Scotiabank's US Operations are complying with applicable laws, regulations, SRO rules and have… 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 ... associated with the management and trading execution of fixed income securities and derivatives. The role involves daily interaction Portfolio Managers, Traders,… 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
- Principal Financial Group (Des Moines, IA)
- …and negotiation skills. + This position requires registration as a General Securities Representative (Series 7) or Investment Company and Variable Contracts ... Client Focused Non Qualified team. In this role, you'll lead and mentor a team Client Service Managers with... Representative (Series 6) and Operations Professional. Candidates… 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 (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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …skills obtained through education, experience, specialized training and/or certification in securities industry compliance to manage and oversee the operation of all ... with PCG compliance obligations. * Serves as the primary representative of the PCG CTE program. * Recommends enhancements...the financial services industry. * Retail and clearing firm operations . **Advanced skill in:** * Expert written and verbal… more
- Federal Reserve System (San Francisco, CA)
- …of state member banks, bank holding companies, and non-bank subsidiaries. Examiners lead higher complexity examination events and may act in a dedicated capacity ... to engage in risk management analysis across an institution's various operations , identifying and assessing emerging trends and potential impacts on financial… more
- BlackRock (New York, NY)
- …events, and internal stakeholders + Present to clients and prospects, and is a lead representative for the SMA solutions platform + Partner with Enterprise RMs, ... of departments, such as National Accounts, Portfolio Management, Sales, Research, Operations , Marketing and COO. Key Responsibilities: + Support Strategic Client… more
- Guardian Life (Bethlehem, PA)
- **Position Overview:** The Sr Learning Specialist within the Operations Learning and Development team is responsible for development and delivery of operational ... and home office in collaboration with business stakeholders. Park Avenue Securities is Guardian's broker-dealer and corporate Registered Investment Advisor (RIA),… more