- Morgan Stanley (Purchase, NY)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...Wealth Management, US Banks, and E*TRADE teams. - Central control management of QA/QC response ensuring accuracy and quality… more
- Morgan Stanley (Purchase, NY)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...target operating model for in-scope Financial Crimes Risk & Control programs, including but not limited to the oversight… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …General Experience - 7 to 12 months Certifications OS - Operations Professional - Financial Industry Regulatory Authority (FINRA), Securities Industry Essentials ... obtained through experience and/or training to monitor possession and control of client assets, complete regulatory reporting and assist...7, 17, 37 or 38 or those who hold principal -level registrations: Series 4, 9/10, 14, 16, 23, 24,… more
- Citigroup, Inc. (Boston, MA)
- The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... conduct and business practices, and escalating, managing and reporting control issues with transparency. Qualifications: 15+ years of experience...S7, S66 (or 63 & 65) & S31; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more
- Capital One (New York, NY)
- Principal Auditor (Experienced Senior Auditor), Corporate Compliance & Securities / Transactions Audits (Hybrid) Capital One's Audit function is a dedicated ... creates a dynamic and challenging atmosphere for both personal growth and professional opportunity. Capital One is seeking an energetic, self-motivated Principal … more
- Citizens (Johnston, RI)
- Description The Principal Control Analyst, is responsible for conducting supervisory reviews of submitted investment / insurance business and may be responsible ... for executing final principal determination for the submitted business on behalf of...control related issues. Qualifications, Education, Certifications, and/or Other Professional Credentials + Required Qualifications + FINRA licenses -… more
- Wells Fargo (Atlanta, GA)
- **About this role:** Wells Fargo is seeking a Principal Commercial Banking Relationship Manager for Specialized Industries in Commercial Auto as part of the ... organization's business and financial operations + Strategically lead all levels of professional and managers across the enterprise to improve processes and risk … more
- Wolters Kluwer (Princeton, NJ)
- ** Principal AI Engineer & Applied Researcher** **Job Description** Wolters Kluwer is a global leader in professional information services. Professionals in ... better understand complex legal issues in key areas like securities , tax, and other practices of law. VitalLaw AI...help create better client deliverables. In the role of Principal AI Engineer & Applied Researcher, you will take… more
- Wells Fargo (Dallas, TX)
- **About this role:** Wells Fargo is seeking a Principal Mid-Corporate Relationship Manager in Technology banking within Specialized Industries as part of Commercial ... lead all levels across the enterprise to improve processes and risk control , resolve client issues while achieving Wells Fargo's business objectives, and represent… more
- Citigroup (San Antonio, TX)
- The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... **Responsibilities:** + Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach,… more
- Mizuho Corporate Bank (New York, NY)
- …corporate function. This role is hybrid and based in our New York City Office. Principal Duties The First Line Control Officer (FLCO) is: + Accountable for the ... understanding of associated control areas and processes, including Product Control , Regulatory Reporting, Accounts Payable, Payroll, and Securities Financial… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …email, and occasional personal visits. + Educates client on the functions of various securities markets and the principal factors that affect them. + Provides ... compliance requirements, alternate security valuations, cost basis, and gain/loss. + Securities products including equities, fixed income, annuities, and options. +… more
- MUFG (Tempe, AZ)
- …of the Bank's risk governance, enterprise and operational risk management and control processes. This role includes, but is not limited to, execution of ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- Citigroup (Costa Mesa, CA)
- The Investment Counselor Principal is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... conduct and business practices, and escalating, managing and reporting control issues with transparency. **Qualifications:** + 15+ years of...S7, S66 (or 63 & 65) & S3; NOTE: Securities Industry Exam (SIE is a prerequisite to the… more
