• Investment Relationship Officer

    City National Bank (Los Angeles, CA)
    …all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA ... apprised of significant client issues and potential problems. City National Securities Brokerage Account Administration * Establish new accounts opened in CNS… more
    City National Bank (12/23/25)
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  • Trust Security Operations Supervisor

    Columbia Bank (Denver, CO)
    **About the Role:** The Trust Securities Operations Supervisor, within the Asset Valuation Team, is responsible for managing all aspects of the firm's Private ... required. + Minimum 2 years of experience in a securities operations or securities processing environmentrequired. + Minimum 2 years of direct leadership… more
    Columbia Bank (12/23/25)
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  • Director, Prime Services Risk (in-business)

    Scotiabank (New York, NY)
    …(options, converts, bonds) and/or risk modeling (VaR, stress-testing) * Knowledge of US securities law and margin concepts (such as Securities Act of 1933, ... Securities Exchange Act of 1934, Investment Company Act of 1940, Regulation T, Regulation U, FINRA 4210) * Series 7 & 63 licenses * Experience with structured credit products including CLOs, ABSs, and MBSs is not required but is a plus **Interested?** At… more
    Scotiabank (12/23/25)
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  • Dir - GTB Payment Integration Tech Lead

    TD Bank (New York, NY)
    …for this role. **Job Description:** Preferred Qualifications **Department Overview** TD Securities ("TDS") Technology supports a wide range of capital market ... and overseeing the delivery of Cash movement technology solutions within TD Securities Corporate Banking businesses. The ideal candidate will have a strong… more
    TD Bank (12/21/25)
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  • Sr. Financial Advisor - Edward Jones Connection

    Edward Jones (Tempe, AZ)
    …in the future (life, health and variable annuity) + 5+ years of securities industry experience as a Financial Advisor or a position supporting FA's requiring ... necessary. + Must be able to understand information about various securities , market conditions, industry trends, financial planning, and relationship building. +… more
    Edward Jones (12/20/25)
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  • Associate Director, US RMBS Ratings

    S&P Global (New York, NY)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
    S&P Global (12/20/25)
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  • Director, US Public Finance Relationship…

    S&P Global (Chicago, IL)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
    S&P Global (12/20/25)
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  • Financial Crime Risk Oversight Specialist

    TD Bank (New York, NY)
    …Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
    TD Bank (12/20/25)
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  • Associate Financial Advisor - Lakeview Financial…

    Thrivent Financial (Coeur D'Alene, ID)
    …living a life of generosity by serving others, not just selling products. Requirements + Securities (Series 7 and 66 or Series 7, 63 and 65) and resident state Life, ... days of hire/contract. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Thrivent… more
    Thrivent Financial (12/20/25)
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  • Associate Director, In-Business Control, S&P…

    S&P Global (New York, NY)
    …we drive innovation and power global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts ... of interest by monitoring and placing restrictions on personal securities holding and trading. The Policy is designed to...candidates at S&P Global may be asked to disclose securities holdings. Some roles may include a trading prohibition… more
    S&P Global (12/19/25)
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