- Charles Schwab (Indianapolis, IN)
- …"challenge the status quo" and transform the finance industry together. **Note: This position is only open to the corporate office location in Indianapolis, Indiana. ... investigations and filing regulatory reports. All investigations must be conducted in compliance with firm policies and applicable regulations. What You Will Do: The… more
- Robert Half Management Resources (Charlotte, NC)
- …on a long-term contract basis remote. This role requires deep expertise in securities lending, sponsor repos, and risk management strategies, with a focus on ... counterparty risk and regulatory compliance . The ideal candidate will provide critical guidance on financial risk metrics and help address gaps in risk monitoring… more
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... **About this role:** Wells Fargo Securities seeks an experienced Supervisory Analyst (SA) to...notes, reports, initiations, decks, models and coverage launches for compliance with FINRA rules and department policies, as well… more
- TD Bank (New York, NY)
- …across various functions including the Business, Risk, Product Control, Technology, and Compliance . This position will require an individual who can collaborate ... is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered,… more
- Eliassen Group (Boston, MA)
- …user acceptance testing for trading and post-trade systems. + Ensure regulatory compliance by incorporating IIROC and Canadian securities requirements into ... with the analytical rigor and detail orientation of a Business Analyst. This position will focus on complex and large-scale brokerage trading platforms, with an… more
- Securities and Exchange Commission (Washington, DC)
- …advice concerning a variety of complex legal issues involving the federal securities laws, the Constitution, the Administrative Procedure Act, and the Bankruptcy ... DC. Primary duties include: Directs appellate court litigation involving the securities laws, the Constitution, and other federal statutes and offers legal… more
- NBC Universal (New York, NY)
- …and other strategic transactions and real estate, as well as assisting with securities and corporate governance matters. You will serve as a key strategic partner ... + Managing and coordinating transaction related issues such as antitrust, securities , tax and accounting, IP, employee benefit plans, employment matters, … more
- MUFG (Tampa, FL)
- …member of our recruitment team will provide more details. This Trade Services Operations position is located in Tampa, Florida and functions as a unique First Line ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- MUFG (New York, NY)
- …dealer settlement engine. The role demands deep expertise in trade flows, securities processing, cash management, and settlement across systems such as Broadridge ... vendor integrations, enabling rapid troubleshooting, process improvements, and regulatory compliance without writing code. Strong analytical skills, back office… more
- Citigroup (Tampa, FL)
- …The Sec & Derivative Intermediate Associate Analyst is an entry-level position responsible for processing orders and transactions originating from trading desks ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize industry and business… more