- Fidelity TalentSource LLC (Jersey City, NJ)
- …team environment. The Expertise and Skills You Bring8+ years of Brokerage Operations experience required.FINRA Series 7 required; within 90 days of hire.Operational ... releases of core functional systems as well as the business unit representative for testing of new functions.Track record of end-to-end process improvement… more
- 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 (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 ... a key role in providing ongoing updates to our senior leadership teams and the PAS Board of Directors...with emphasis on knowledge and practical application of federal securities laws, regulations and procedures. Candidate should be a… more
- Wells Fargo (North Brunswick, NJ)
- **About this role:** Wells Fargo is seeking a Software Engineering Senior Manager (Global Markets Operations Technology) as part of the Wholesale Operations ... work closely with the CIB (Corporate and Investment Banking) Operations team, Broadridge, and their leadership team to ensure...this role will be a deep understanding of trade, securities and settlement data and its usage throughout the… more
- Morgan Stanley (Boston, MA)
- …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
- Atria Wealth Solutions (Houston, TX)
- …statements for compliance with firm policy. + Review Investment Advisor Representative private securities transactions. + Review Retirement Plan 408(b)-2 ... + Fully Remote - USA Compensation: 70,000 - 85,000 Position Purpose: The Senior Compliance Analyst assists the firm in mitigating certain risk conditions associated… more
- Rock Family of Companies (Detroit, MI)
- …innovative solutions for **Rocket Companies(R)** . We are the center of operations , technology, marketing, HR, legal, strategy and more that propels our companies ... 5 years of legal experience **Job Summary** As a Senior Counsel, you'll work as part of the legal...and periodic reports and have a firm understanding of securities rules and regulations and exchange listing requirements, preferably… more
- Manulife (Boston, MA)
- …respect to private equity co-investments, private equity funds ("Fund-of-Funds"), mezzanine securities , leveraged senior loans, and GP-led secondaries through ... Specialist will be responsible for supporting the growth of the Junior Credit and Senior Credit strategies as well as the PE&C platform. The Private Credit Portfolio… more
- Scotiabank (New York, NY)
- …and procedures. The Corporate Functions Compliance team ensures Scotiabank's US Operations are complying with applicable laws, regulations, SRO rules and have ... and trading businesses, including the BNS NYA primary dealer and government securities dealer, and support for conduct and complaints coordination. + Oversee the… more
- Citigroup (New York, NY)
- …objectives; invest in the development of all team members.** **Serve as AML Representative to Senior Governance meetings for including the Wealth Product ... including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities… more
- TD Bank (New York, NY)
- …issues and commercially provide effective tactical and strategic solutions. + Securities licenses strongly preferred but not strictly required + Willing to ... level. **Depth & Scope:** + Works independently as the senior analyst / subject matter expert and may coach...expertise and/or input to projects / initiatives as a representative for area of specialization, and where necessary participates… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers… more
- Truist (Raleigh, NC)
- …Executive Leadership, the BU CFO organization and other members of the Senior Leadership Team. **ESSENTIAL DUTIES AND RESPONSIBILITIES:** Following is a summary of ... reporting required to effectively communicate TIH's financial position and results of operations . 4. Closely monitor the standard setting process of the Financial… 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
- Federal Reserve System (San Francisco, CA)
- …to engage in risk management analysis across an institution's various operations , identifying and assessing emerging trends and potential impacts on financial ... and recommendations in both verbal and written format to senior management of the institution and boards of directors,...are committed to building an inclusive culture that is representative of the communities we serve. The SF Fed… more
- CACI International (Annapolis Junction, MD)
- …and may not be filled immediately. However, t_** **_his position is representative of positions within CACI that are consistently available. Individuals who apply ... Organizations to deliver a safe and secure environment with appropriate software and securities to serve the AI/ML mission workflow. The availability of a System… more
- EMCOR Group (Farmingdale, NY)
- …accounting principles issued by the Financial Accounting Standards Board, the Securities and Exchange Commission, and other regulatory and advisory organizations and ... Ethics in conducting business - both internally and externally. + Possess senior management level knowledge and understanding of the financial, accounting, and… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
- Citigroup (Jacksonville, FL)
- …loop process. + Handles all inquiries/requests related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 ... The Intermediate Associate Telesales Representative is a Client Service and Sales support...support from those teams. + Provides timely feedback to senior management to identify client pain points and barriers… more
