- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate . **In this role, you will:** + Participate in low complexity lifecycle support ... tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures for which… more
- Edward Jones (St. Louis, MO)
- …area in Financial Crimes. **Key Responsibilities:** + Monitor information barriers, associate personal account dealing, and potential conflicts associated with the ... firm's investment advisory programs, trading operations and other sensitive areas + Develop and maintain...Overview **Skills/Requirements** + Bachelor's degree preferred. + 5+ years securities industry experience with minimum 3+ years in a… more
- Edward Jones (St. Louis, MO)
- …accountability, and provide strategic leadership to safeguard the firm's technology operations . **What you'll do:** + Develop and implement a comprehensive ... as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA… more
- Edward Jones (St. Louis, MO)
- …our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it all. We support our clients, branch ... Planning processes in alignment with the Division objectives while balancing the Associate and Branch experience. 7. Participate and contribute in projects driving… more
- Citigroup (O'Fallon, MO)
- …loop process + Handles all inquiries/requests related to banking and /or investment operations - including placing unsolicited securities trades (Series 7 & 63 ... required) + Ensures customer claims and complaints are handled in accordance with FINRA and firm policy + Ensures that KYC/AML and other compliance norms are strictly adhered to + Builds a rapport with clients; utilizes Salesforce regularly for communication… more