- City National Bank (Newark, DE)
- …maintain new and existing client relationships and accounts. Facilitates problem resolution and document processing including review and analysis of supporting legal ... documents and agreements, and branch support . Follows established procedures to perform routine tasks that...other learning activities to develop knowledge and understanding of FINRA , state and other regulatory agency rules and regulations… more
- Atria Wealth Solutions (Raleigh, NC)
- …or SEG location seminars. + Working with other advisory team members, the Planning Specialist , and the departmental support personnel to meet the needs of our ... a concern or problem and seeing it through to resolution . + Someone who is excited by the opportunity...Business, Finance, or Insurance or equivalent work experience + FINRA series 7, 63/65 (or 66) + NC Life,… more
- T. Rowe Price (Baltimore, MD)
- …create real impact at work and in your community. Y ou'll enjoy resources to support your career path, as well as compensation , benefits , and flexibility to enrich ... Investment Operations department. The team focuses on activities including, trade support for all products including equity, fixed income, derivatives, Collateral… more
- Wells Fargo (Charlotte, NC)
- …corporations. **About this role:** Wells Fargo is seeking a Lead Commercial Loan Closing Specialist to support Community Lending & Investment (CLI) which is a ... modifications + Serve as an escalation point in the resolution of client, and internal partner issues related to...Microsoft Excel skills, including formulas and dynamic spreadsheets to support core accounting and finance functions. + A BS/BA… more
- Bank of America (San Francisco, CA)
- …to further develop and enhance existing client relationships. He or she provides specialized support as a Specialist /Manager in any one of the teams specialized ... managers, product specialists and/or team Senior Wealth Planner and Investment Management Specialist to support the coordination all sales and service… more
- US Bank (Billings, MT)
- …we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our ... Wealth Management (PWM) Client Service Team Associate is a service and support representative functioning as the primary, daily contact between Wealth Management,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …(CAMS) is required + Certified Fraud Examiner (ACFE) preferred + Certified Sanctions Specialist preferred + Regulatory industry license (eg, FINRA SIE, Series 7) ... Ensure timely remediation of identified issues and track corrective actions to resolution . + Monitor performance metrics and error rates to inform risk-based… more
- US Bank (Tempe, AZ)
- …we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our ... (PWM) Client Services Team Leader is responsible for leadership of the support staff for Private Wealth Management. Has direct responsibility for overseeing the… more
- Bank of America (Pennington, NJ)
- …and testing, or law enforcement liaison responsibilities in an investigative support role **Required Qualifications:** + Minimum 5 years' experience in financial ... AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience… more
- Huntington National Bank (Chicago, IL)
- Description The Huntington Securities, Inc. (HSI) Trade Allocation Specialist is responsible for ensuring timely and accurate trade allocations and corrections for ... processes + Monitor and manage trade exceptions, ensuring prompt resolution and escalation when necessary + Process and reconcile...trade affirmations to comply with T+1 regulations + Provide support to other team members and assist with ad… more