- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... Sponsored Repo annex, the Cleared Derivative Execution Agreement and the Master Securities Forward Transaction Agreement with a focus on investment managers and… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... while developing the knowledge to understand function, policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues and… more
- Wells Fargo (New York, NY)
- …Banking. RESF operates as an investment banking product group in Wells Fargo Securities responsible for the origination, structuring and distribution of debt for our ... business challenges while developing expertise in relevant policies, procedures, and compliance requirements. + Collaborate with peers and internal partners to share… more
- Wells Fargo (New York, NY)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific … more
- Deloitte (New York, NY)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... securities clients? If you answered "Yes" to any of...Services group, you will provide federal tax consulting and compliance services to a clients in the banking and… more
- Deloitte (New York, NY)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... securities clients? If you answered "Yes" to any of...Services group, you will provide federal tax consulting and compliance services to clients in the banking and financial… more
- Wells Fargo (New York, NY)
- …Rates business to enhance pricing models for US Treasury, STRIPS and TIPS securities along with engineering enhancements to the platform. This individual will engage ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
- Wells Fargo (New York, NY)
- **About this role:** The Senior Lead Securities Quantitative Analytics Specialist is an Executive Director level role within the Corporate & Investment Banking ... problems + Meet deliverables while adhering to policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and project… more
- TD Bank (New York, NY)
- …in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, ... compliance , audit, and self-ID findings are remediated and customer... and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and… more