- Coinbase (Charlotte, NC)
- …flawless execution within regulated financial markets? We are seeking a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations ... You will play a critical role in ensuring our operations are accurate, compliant, and ready for future growth....to support our equities trading product. As a Senior Associate , you will play a critical role in executing… more
- SMBC (Charlotte, NC)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking an Institutional Investment Operations Associate within the Centralized Callback team as a part of Corporate ... Investment Banking Operations . Learn more about the career areas and business...divisions at wellsfargojobs.com . Centralized Callback Team within Shared Services is a control team working to ensure fraud… more
- SMBC (Charlotte, NC)
- …Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational ... history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards,...is an extension of the broader New York based Securities Operations team. The role reports to… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Supervisory Control Associate Manager to join our Centralized Supervision Unit within Wealth & Investment Management. ... registered individuals, supervisory principals and reviewers in day to day operations + Monitor progress to ensure timely completion, quality and compliance… more
- Wells Fargo (Charlotte, NC)
- …of business development, recruiting, team development, branch administration, compliance, and operations in the branch network + Work with the Market Manager ... retention + Utilize tools to understand policies and procedures, brokerage operations standards and governing bodies regulatory roles and regulations + Collaborate… more
- SMBC (Charlotte, NC)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client… more
- TD Bank (Charlotte, NC)
- …performs tasks from end to end + Applies expert knowledge of business operations , products, services , methods and operating standards to drive unit or ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...(eg, Federal Reserve) as well as banking products and services . Additionally, a risk management / internal control mindset… more
- SMBC (Charlotte, NC)
- …with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities , credit cards, and consumer finance. The ... in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …clients of the company by combining the traditional roles of the Financial Advisor, Service Associate and Branch Manager. Fosters and assists in the development ... of variable annuity products. * Principles of banking and finance and securities industry operations . * Financial markets and products including annuities,… more