- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Financial Network (FiNet) within the...our Financial Network (FiNet) within the Branch Infrastructure and Operations group as part of Wealth & Investment Management.… more
- TEKsystems (Charlotte, NC)
- …forms or other operational processes. Skills FINRA, administrative support, Smartsheet, RIA, Broker Dealer , excel, Additional Skills & Qualifications * Client ... transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team… more
- Regions Bank (Birmingham, AL)
- …ethic and self-motivation **Additional Preferences** + Prior compliance experience in banking, broker - dealer in a lead or oversight position. + Marketing and ... knowledge of rules and regulations and their impact on products, services, and operations for a specific line of business + Establishes partnerships with line of… more
- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... knowledge of retail brokerage and investment advisory industry rules, regulations and operations . + Strong organizational skills and the ability to multi-task. +… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... Maintain sub-ledger to general ledger mapping logic; liaise with Product Control and Operations for testing and application. + Manage chart of accounts and mapping.… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... Road - Amherst, New York 14226 ABOUT THE JOB (JOB BRIEF): The Loan Delivery Specialist reports to the Post Closing Manager is responsible for the review, audit and… more
- US Tech Solutions (Newark, NJ)
- …back-office systems + Must have experience with DTC Corp Actions processing functions and broker dealer operations + Knowledge of BPS settlement systems is ... of going permanent.** **Job Description:** + We're seeking a Corporate Actions Operations Specialist to join our dynamic team for a contract opportunity. In this… more
- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... independent judgment while developing expertise in Business Growth Strategy operations , policies, procedures, and compliance requirements + Collaborate and consult… more
- Wellington (Chicago, IL)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... matters, and strategic client initiatives. The successful candidate will join a specialist legal team that collaborates closely with our business and Compliance… more