- Capital One (Plano, TX)
- …processing of functions that include but are not limited to clearing, securities settlements, trade confirmations, funds flow, reporting and various other aspects in ... procedures and provide training to other associates on M&A operations, securities settlement related issues, while supporting existing products and services.… more
- TD Bank (New York, NY)
- …role. **Job Description:** Position Title: Senior Finance Analyst Business Unit: TD Securities Division/Region: TD Securities USA (New York) Report Location: NYC ... US Finance is part of the broader TD Securities Finance group and serves as one of three...US, Canada, and other regions (UK and Singapore). TD Securities is seeking a highly motivated, detail-oriented, and technology… more
- M&T Bank (Wilmington, DE)
- …Rule 38a-1 under the Investment Company Act of 1940, as promulgated by the Securities and Exchange Commission (SEC). The CCO will be responsible for ensuring that ... effective policies and procedures reasonably designed to prevent violation of federal securities laws and to promote a culture of ethical conduct and regulatory… more
- TD Bank (Mount Laurel, NJ)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD Bank ... who are part of the client-facing Distribution teams are both securities -registered and insurance-licensed. Additionally, the Trust Advisors support both personal… more
- TD Bank (Charlotte, NC)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD Bank ... are part of the client-facing Distribution teams are both** ** securities -registered** **and insurance-licensed. Additionally, the Trust Advisors support both… more
- SpaceX (Hawthorne, CA)
- …wide variety of complex legal and business issues. RESPONSIBILITIES: + Own securities law compliance, corporate governance matters, and board support + Modernize ... charters, and governance policies + Architect and implement compliance framework for securities laws and regulations (1933 Act, 1934 Act, Reg. D Offerings, Rule… more
- JPMorgan Chase (Tampa, FL)
- …your expertise in project management and client solutions shapes the future of Securities Services. At JPMorgan Chase, you'll work with a diverse client base and ... You'll manage events of moderate complexity, covering a wide range of Securities Services products and working with stakeholders across Asset Managers, Hedge Funds,… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate/Client reporting Associate to join our Client Reporting team. This role is responsible ... support tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies or procedures… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist/Client Reporting Analyst to join our Client Reporting team. This role is responsible ... lifecycle support initiatives and identify opportunity for process improvements within Securities Operations + Review and analyze basic or tactical functional… more
- Citigroup (New York, NY)
- …to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Identify project resources, ... for the group + Recommend and implement new systems and enhancements to securities processing procedures + Provide an in-depth analysis and develop solutions to… more