- Comerica (Costa Mesa, CA)
- …problems and questions. Complete understanding of policies and procedures for firm and regulatory compliance. Copy and retain all necessary documentation. Maintain ... procedures and escalate as appropriate. Participate in office or firm -wide initiatives as requested. Demonstrate teamwork, cooperativeness, and positivity. Follow… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. Our core activities are ... data-related policies and standards across Citi and equip the firm with the tools required to take ownership and...+ Support engagement with regulatory bodies, effectively assisting the firm in its communication of remediation status and managing… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... is fully aligned with the enterprise architecture of the firm and is deeply integrated into the sectors and...a key contributor to the security posture of the firm , focusing on architectural design, development, and operational excellence.… more
- Citigroup (Tampa, FL)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... with Data Domains to improve the quality of the firm 's data by addressing data defects. They may also...support analytics and reporting of Data Exceptions across the firm . **Responsibilities:** + Supports activities to drive Data Quality… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …career in a fast-paced, dynamic environment? Our client, an alternative investment firm in the Twin Cities, is seeking a detail-oriented Investment Operations ... a related role within financial services or a trading firm . + Bachelor's degree in Finance, Accounting, or a...of MBS - Mortgage-Backed Securities * Experience with Prime Brokerage * Proficiency in Excel VBA * Advanced skills… more
- Citizens (Johnston, RI)
- …including direct support to the Chief Fiduciary and Investment Officer of the firm . + Accomplished background in brokerage , insurance, investment adviser, and ... implement, and/or influence internal governance processes. Manage Governance throughout the firm to ensure adherence to policies and procedures. + Reviews current… more
- TD Bank (Marlton, NJ)
- …& Experience:** + College degree or equivalent experience required + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series 24 Required ... and verification requirements of FINRA Rule 3110(e), including: the Firm 's obligation to investigate the good character, business reputation, qualifications… more
- BlackRock (Wilmington, DE)
- …best practice standards by applying governance and controls to mitigate risk to the firm and our clients. The team operates as a single, global entity designed ... role and have a strong understanding of investment or brokerage operations. + Candidates should be able to demonstrate...total compensation may vary based on role, location, and firm , department and individual performance. **Our benefits** To help… more
- Capital One (New York, NY)
- …outstanding business impact and elevate Audit's value proposition. + You're a firm believer that a rich understanding of data, innovation, and technology will ... in the financial services industry, in a professional services firm serving clients in large banks, or a combination....one or more areas of compliance, such as consumer, brokerage , wealth management, or trust + 1+ years of… more
- Citigroup (Irving, TX)
- …including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a ... Operations & Technology (O&T) organizations + Oversee O&T spending to ensure the firm 's finances are budgeted and spent according to the Chief Technology officer's… more