- 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 ... Fargo is seeking a CIB Quantitative Strategist - Vice President (Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking. Learn more… 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 ... is seeking a Front Office Equities Quant - Executive Director (Senior Lead Securities Quantitative Analytics Specialist) in Corporate & Investment Banking as part of… more
- SMBC (Los Angeles, CA)
- …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
- Wells Fargo (Sacramento, CA)
- …+ This position offers a hybrid work schedule + Specific compliance policies may apply regarding outside activities or personal investing; affected employees ... 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… more
- Wells Fargo (Miami, FL)
- …terms and/or taking an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 ... ) provides the MU4R questions and registration required for employment in this position . Individuals in Loan Originator (LO) positions must meet the Consumer… more
- Charles Schwab (Westlake, TX)
- …advice. You will work directly with clients and second line risk partners in Compliance in both ad hoc and project-based settings, providing legal advice in writing ... investment adviser, or as a staff attorney with the Securities and Exchange Commission, FINRA, or a state ...sabbatical after every 5 years of service for eligible positions + Paid parental leave and family building benefits… more
- Wells Fargo (Los Angeles, CA)
- …partnerships with all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management + Execute on ... + This is a non-producing role + This LO position has customer contact and job duties which may...concerns **Job Expectations:** + Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification… more
- Wells Fargo (Denver, CO)
- …maintaining appropriate FINRA license(s) is required for ongoing employment in this position . Compliance with state law registration and licensing requirements ... selected responsibilities by the Financial Advisor. + This LO position has customer contact and job duties which may...date if not immediately available to transfer upon hire. Compliance with state law requirements is required. This will… more
- Columbia Bank (Greenwood Village, CO)
- …daily business processing to include department mail & processing checks and securities . + Maintain client and mailing database. Update Financial Advisor's calendar. ... support to other Financial Assistants when necessary. + Demonstrates compliance with all bank regulations for assigned job function...You:** + Bachelor's degree or equivalent experience + Minimum securities licensing of Series 7 & 63 + A… more
- JPMorgan Chase (Jersey City, NJ)
- …the firm's global capital, balance sheet, liquidity and funding strategy and positions , as well as establishing funds transfer pricing policy, executing the firm's ... invests the firm's excess liquidity, generally by investing in high quality investment securities that are managed for the longer-term as part of the firm's… more