- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist in the Trust Services team within Wealth & Investment Management within ... complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations . + Review and analyze basic or tactical… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Wells Fargo is seeking a Senior Securities Operations Specialist for our Operational Risk Services Team. The ... End-User Computing Tools (EUCT) policy support. As a Senior Securities Operations Specialist , you will...education **Desired Qualifications:** + 5+ years of experience in Wealth & Investment Management Operations + 3+… more
- Wells Fargo (Charlotte, NC)
- …Specialist to join our Client Relationship Group within the Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required. +… more
- TD Bank (Charlotte, NC)
- …and the Wealth Lending Advisors (WLA) support the lending activities of Wealth Banking.** **In this position, the Compliance Specialist will be supporting ... 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… more
- 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
- Capital One (Charlotte, NC)
- …team. As a member of the Audit team, the candidate will focus on operations of investment ( securities and transactions). Responsibilities: + Lead small audits, ... of experience in one or more areas of compliance, such as consumer, brokerage, wealth management, or trust + 1+ years of experience with data analytics tools and… more