- TD Bank (Charlotte, NC)
- …team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about ... collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program… 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
- Wells Fargo (Charlotte, NC)
- …with you. **About this role:** Wells Fargo is seeking an Institutional Investment Operations Associate within our Client Data and Onboarding team as part of our ... Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Charlotte, NC)
- …with you. **About this role:** Wells Fargo is seeking an Institutional Investment Operations Specialist within our Trade Support team as a part of our Corporate ... Investment Banking (CIB) Operations Division. This role supports internal and external Fixed...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …+ High School Diploma or equivalent and one (1) or more years securities industry or related work experience preferred, or an equivalent combination of experience, ... education, and/or training as approved by Human Resources. **Licenses/Certifications** + None more
- Truist (Charlotte, NC)
- …Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of ... 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… 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
- TD Bank (Charlotte, NC)
- …enhancements for the bank's lending portfolio. Primary focus will be on securities -based lines of credit product in addition to other wealth consumer lending ... as the primary liaison between internal stakeholders - including Sales, Operations , Risk, Technology - and external stakeholders including third-party partners and… 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