- Federal Reserve Bank (Philadelphia, PA)
- …seeking a paid Intern to work with our team. The hourly rate for this position is $21.00 per hour for undergraduate students, $25.00 for graduate students and $28.00 ... have any questions about the validity of someone who contacts you regarding this position , please email the Talent Acquisition team at ###@phil.frb.org . We are an… more
- Principal Financial Group (Kansas City, MO)
- …and procedures that drive operational excellence, support growth, and ensure compliance . **Key Responsibilities:** + Provide leadership and direction for assigned ... 5+ years in leadership. + Deep knowledge of investment products, securities processing, and related technology. + Strong understanding of investment markets,… more
- JPMorgan Chase (New York, NY)
- …will need to adopt Highbridge's systematic investment approach and help manage positions accordingly. This role will entail the daily oversight of existing ... investment positions and evaluating new opportunities, as well as developing...equity, credit, and interest rate hedges dynamically at the position level to generate returns and optimize risk management.… 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 ... Sponsored Repo annex, the Cleared Derivative Execution Agreement and the Master Securities Forward Transaction Agreement with a focus on investment managers and… more
- Wells Fargo (Charlotte, NC)
- …understanding of the independent advisor business model, including operational flexibility, compliance nuances, and client service dynamics + Proven ability to ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Wells Fargo (Charlotte, NC)
- …to deliver training, education, and strategic support to advisors. + Ensure compliance with regulatory requirements and internal policies across all activities. + ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Wells Fargo (Charlotte, NC)
- …markets requiring solid understanding of Premier Channel policies, procedures, and compliance requirements that influence and lead team to meet business objectives, ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Wells Fargo (Charlotte, NC)
- …for growth opportunities in an assigned market + Ensure adherence to compliance regulations and policies + Perform research within Business Growth Strategy ... Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position . FINRA Series 63 (or 66) examinations, or equivalent, along with… more
- Wells Fargo (Charlotte, NC)
- …tactical projects and contribute to business growth strategy initiatives + Ensure compliance with regulatory and internal policy requirements + Track and report on ... Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position . FINRA Series 63 (or 66) examinations, or equivalent, along with… more
- Wells Fargo (Charlotte, NC)
- …maintaining appropriate FINRA license(s) is required for ongoing employment in this position . Compliance with state law registration and licensing requirements ... and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with… more