- Vanguard (Malvern, PA)
- …This role oversees the operational effectiveness, risk management, and regulatory compliance of mission critical brokerage operations, while also supporting client ... Securities Lending, Asset Servicing), oversees performance of operation, and ensures compliance with SEC, OCC, FINRA regulations. Reviews applicable current and… more
- Navy Exchange Services (NEX) (Virginia Beach, VA)
- …contract budgets and other contract-related administrative actions to ensure financial accountability. Assists in reviewing contractor submittals and certifying ... statistical cost data to assess the contractor's costs, pricing, and financial capability to perform the contract requirements. - Stakeholder Collaboration: Works… more
- M&T Bank (Baltimore, MD)
- …objectives. + Use Python, SAS and SQL to manipulate customer loan or financial data for statistical analysis and model development. + Employ common model ... methodologies such as logistic regression, time series , survival analysis, boosted trees and similar machine learning methods to create robust and flexible solutions… more
- Wells Fargo (Mclean, VA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... Investment Management (WIM)** is one of the United States' leading providers of financial and investment services. We offer a full range of personalized wealth… more
- Raymond James Financial, Inc. (New York, NY)
- …operations. + Financial markets and products. **Skill in:** + Overseeing compliance programs. + Integrating and aligning compliance processes and procedures ... minimum of three (3) years of experience in the financial services industry, compliance , or risk management....and/or training approved by Human Resources. **Licenses/Certifications** + FINRA Series 7 and 9/10 or 24 expected. + Additional… more
- Robert Half Finance & Accounting (Chicago, IL)
- …data from internal systems, analyze trading activity to identify potential compliance concerns related to market manipulation, insider trading, best execution, and ... and other required filings based on specific regulatory guidelines. + Compliance Monitoring: Monitor trading activity for potential violations of regulatory rules… more
- Wells Fargo (Minneapolis, MN)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... is one of the United States' leading providers of financial and investment services. WIM provides a full range...your intern experience. + **Benefit from a virtual speaker series :** Wells Fargo's top leaders provide insight into how… more
- TD Bank (New York, NY)
- …training program. This program is designed to teach you the building blocks of financial institutions and jargon of Global Markets and will prepare you for the next ... Summer Analysts will have the opportunity to engage in a Senior Speaker Series designed to familiarize participants with the workings of Global Markets as well… more
- Robert Half Finance & Accounting (Pleasant Prairie, WI)
- …will play a key role in evaluating market trends, conducting in-depth financial analyses, and supporting portfolio management to align with client objectives. ... Responsibilities: * Conduct detailed financial analysis, modeling, and valuation of a variety of...leaders to refine investment policies, asset allocation models, and compliance frameworks for conservative portfolios. * Provide guidance to… more
- Wellington (Boston, MA)
- …external wholesalers in promoting and selling alternative investment products to financial advisors at large wealth platforms. Core responsibilities include: + ... robust sales pipeline growth + Build and maintain strong relationships with financial advisors, providing them with product information, updates, and support + Work… more