- Bank of America (Charlotte, NC)
- …and resolve complex problems * Daily responsibilities of the Compliance Specialist include execution of Insider Trading alerts, helping to identify potential ... which falls under Global Risk Management LOB. The Compliance Surveillance Specialist has intermediate knowledge of insider- trading and the risk it presents… more
- Bank of America (New York, NY)
- …for improvements. + Identify improvements in venue and product coverage by comparing transactional data from trading systems to surveillance alert generation. + ... Compliance & Op Risk Manager - EQ/Futures New...alerts and make recommendations for changes. + Assist in transactional data analysis from trading systems and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Institutional Investment Operations Specialist to join our Client Facilitations team as part of Corporate and ... Working knowledge of Capital Markets flows (Institutional Securities sales and trading and/or investment banking) in operations, risk management, client service, or… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment ... leads global CIB first-line customer tax activities. The lead specialist is expected to contribute to broader team focus...operational excellence + Work closely with Corporate Tax and Compliance to analyze complex matters and implement solutions +… more
- Morgan Stanley (New York, NY)
- …Laundering (AML), Sanctions, Anti-Corruption and Government and Political Activities Compliance programs. If you are passionate about financial crimes prevention, ... Know Your Customer (KYC) onboarding, enhanced due diligence, periodic refresh and transactional due diligence matters >Advise on transactional due diligence with… more