- Truist (Charlotte, NC)
- …with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of ... supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates **Required Qualifications:** The… more
- Wells Fargo (Charlotte, NC)
- …(CCM) team. CCM sits within the Corporate & Investment Banking (CIB) Markets Division and is the front line credit team responsible for underwriting, grading, and ... brokerage, futures & OTC clearing, bilateral derivatives, foreign exchange, repo, securities financing, and secondary loan trading. + Conduct due diligence with… more
- US Bank (Charlotte, NC)
- …what you excel at-all from Day One. **Job Description** The US Bank Law Division is seeking an attorney to lead the Capital Markets Legal Team. This attorney ... corporate and municipal bond sales, trading, and origination, asset-backed securities and CLOs, interest rate derivatives, commodity derivatives, foreign exchange,… more
- SMBC (Charlotte, NC)
- …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 MANUBANK, JRI America, Inc.,… more
- Wells Fargo (Charlotte, NC)
- …well regarded financial institutions in the world. Analysts, depending on the Division and Group they are assigned to, assume significant responsibility that may ... from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate… more
- SMBC (Charlotte, NC)
- …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 MANUBANK, JRI America, Inc.,… more
- SMBC (Charlotte, NC)
- …Compliance Model Validation Manager, in the Risk Management Department, Americas Division . The Compliance Model Validation Analyst will perform the validation ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...of all compliance models for SMBC **Role Objectives** Document model development… more
- SMBC (Charlotte, NC)
- …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 MANUBANK, JRI America, Inc.,… more
- SMBC (Charlotte, NC)
- …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 MANUBANK, JRI America, Inc.,… more
- Truist (Charlotte, NC)
- …matters for Truist Financial Corporation and its subsidiaries to ensure compliance with GAAP, regulatory reporting and affiliate transaction requirements. Such ... process of the Financial Accounting Standards Board ("FASB,") and United States Securities and Exchange Commission ("SEC,"), as well as the Federal Deposit Insurance… more