- Wells Fargo (Charlotte, NC)
- …strategies for clients, pulling market and industry research, and completing a trading simulation within Investment Banking Mid-Year Program + Review strategies for ... FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… 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
- Citigroup (Charlotte, NC)
- …portfolio consisting of Issued Debt, Intercompany Borrowings & Placements, AFS/HTM Securities , and Derivatives. + CTI is responsible for managing central liquidity ... hedge program, and providing US dollar financing to other trading desk, management of the USD interest rate risk...credit card securitizations and liability management for all capital securities issued through Citigroup and CBNA. + The CTI… more
- Bank of America (Charlotte, NC)
- …conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this ... Case Investigations & Resolution + High Risk Activities & Typologies + Trading & Transaction Patterns (inc. Transaction Monitoring) **Shift:** 1st shift (United… more
- Wells Fargo (Charlotte, NC)
- …investment banking; equity; and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Nuveen Investments (Charlotte, NC)
- …that has a cycle-tested track record of managing CLOs and investing in CLO securities . Responsibilities will cover a wide range of tasks, from liaising with clients ... partners: Partnering with technology, compliance, legal, operations, portfolio management, trading , and other internal partners to evaluate and enhance client… more
- Wells Fargo (Charlotte, NC)
- …regulatory matters, including client onboarding, lifecycle events, inquiries related to trading strategies, and SEC exam preparation. The position also involves ... on regulatory matters impacting CFTC regulated swaps as well as SEC regulated securities -based swaps + Provide regulatory advice on CFTC/SEC regulated swaps to cover… more
- Wells Fargo (Charlotte, NC)
- …This role is responsible for negotiating and managing complex financing and trading documentation related to CRE debt and equity transactions. The ideal candidate ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (Charlotte, NC)
- …equity; foreign exchange, rates and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, and ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Bank of America (Charlotte, NC)
- …and build econometric behavioral models pricing and valuation tools, for mortgage backet securities , loans and a variety of deposit products on the bank's balance ... Past experience in Interbank Offering Rate(IBOR) transition/ Fundamental Review of the Trading Book (FRTB) is a plus **Minimum Education Requirement:** + Master's… more