- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate in Business Operations as part of Investment Operations division . Learn more about ... support tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures… more
- Wells Fargo (Charlotte, NC)
- …Risk, Compliance , etc.) **Required Qualifications:** + 2+ years of Securities Trading experience, or equivalent demonstrated through one or a combination of ... **About this role:** Wells Fargo is seeking a Trading Securities Associate to join their Global Secured Trading (GST) team. This role will be responsible for… more
- MUFG (New York, NY)
- …Vice President or experienced Associate to contribute to the Commodity & Structured Trade Finance business by working with senior Trade Finance Origination ... engagement with related divisions such as applicable Credit approval departments, Trade Service Operations, Legal and Risk Management, Transaction Banking … more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- SMBC (Jersey City, NJ)
- …the Compliance Controls Inventory team, which is a part of SMBC's Compliance Department Americas Division ("CPAD"). This role will report to the Director ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- SMBC (Jersey City, NJ)
- … Compliance functions. This is a junior to mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual is ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …drives Compliance processing. This is a mid-level role in the Compliance Department Americas Division (CPAD) Data Governance team. This individual ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …to its employees. **Role Description** SMBC is seeking an Associate to join the Compliance Governance team of SMBC Americas Division . This role contributes to ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …Program Manager will join the Compliance Administrative Office supporting the Chief Compliance Officer (CCO) for the Americas Division , playing a key role in ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …the Director of Issues Management. This role and team will be responsible for compliance issues management from the Americas Division (AD) perspective. This is a ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …general handling of client complaints. * Concepts, practices and procedures of securities industry and/or banking compliance ; including Reg BI standards and ... trends, risk patterns and possible rules violations to ensure adherence to securities industry regulations and limit firm liability. Leads major projects, programs… more
- SMBC (White Plains, 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 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …liquidity in specified market sectors. The Financial Institution Group within our Securities division provides origination, trading and distribution of Preferred ... Responsible for issuer relationships and financial institution coverage + Trade fixed income securities in support of...a timely manner and ensure transactions adhere to FTS compliance standards + File appropriate regulatory reports on timely… more
- M&T Bank (Buffalo, NY)
- …strategic management of the valuation and risk management of the bank's securities and derivatives arising from balance sheet hedging, customer back-to-back business ... + Actively participates at the Corporation's Governance Committees + Manage internal compliance with MRMD and ensure compliance with model oversight governance… more
- SMBC (Jersey City, NJ)
- …Jr. level role sitting within the Analytics team and is a key part of the Compliance Department Americas Division (CPAD). In this role they will also be expected ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** Reporting to the Director, FCC Analytics in the Compliance Department, Americas Division , the Data Analytics Director performs ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more