- Wells Fargo (San Francisco, CA)
- …Finance, M&A related Acquisition Finance, and Global Receivables & Trade. This position requires expertise in traditional banking and capital markets products and ... Microsoft Office skills **Job Expectations:** + Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be… more
- Wells Fargo (Sparks, NV)
- …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… more
- Wells Fargo (Charlotte, NC)
- …grow. Wells Fargo is seeking candidates for the role of Senior Lead Securities Quantitative Analytics Specialist, which is an Executive Director level role within ... problems + Meet deliverables while adhering to policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and project… more
- Wells Fargo (MA)
- **About this role:** Wells Fargo is seeking a Lead Securities Quantitative Analytics Specialist at the VP level to join a team of 'data strats' in analyzing and ... deliver in an Agile SDLC following applicable policies, procedures, and compliance requirements **Required Qualifications, US:** + 5+ years of Securities… more
- Wells Fargo (Houston, TX)
- **About this role:** The Lead Securities Quantitative Analytics Specialist is a Vice President level role within the Corporate & Investment Banking organization ... problems + Meet deliverables while adhering to policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and project… more
- Wells Fargo (New York, NY)
- **About this role:** The Securities Quantitative Analytics Director is a Managing Director level role within the Corporate & Investment Banking organization (CIB). ... problems + Meet deliverables while adhering to policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and project… more
- SMBC (Jersey City, NJ)
- …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
- Citigroup (Tampa, FL)
- …own team. **Responsibilities:** + This role will manage reconciling and processing positions related to Corporate Action and income events covering Latin America ... on issues to identify root cause + Participate in activities related to compliance with procedures and controls + Assists and provides coverage for team members… more
- Siebert Williams Shank (Chicago, IL)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and ... the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- MUFG (New York, NY)
- …ability to liaise across multiple functions including trading, risk, finance, compliance , and operations. **Key Responsibilities:** * Support the primary business ... management partners to the trading desk leads across Rates, Credit, Securities Financing, Structured Solutions and Equities. * Assist with strategic and operational… more