- JPMorgan Chase (Jersey City, NJ)
- …process efficiency, and operational excellence. As an Asset Servicing Analyst in Securities Operations within Markets Asset Services, you play a vital role in ... corporate action events that affect both client and firm securities holdings. You will collaborate with internal teams, custodians,...teams, custodians, and clients to minimize risk and ensure compliance with firm standards. In this role, you will… more
- TD Bank (New York, NY)
- …Description:** **Position Title:** Vice President - Finance **Business Unit:** TD Securities **Division/Region:** TD Securities USA (New York) **Report ... **Hours:** M - F 8:30 - 5:00 Overview TD Securities US Finance is a part of the wider...+ Manage Governance related tasks/mandate and work closely with Compliance and 1B business partners to understand and satisfy… more
- JPMorgan Chase (New York, NY)
- …solutions for complex financings and securitizations involving asset-backed securities , residential mortgage-backed securities and commercial mortgage-backed ... other lawyers across JPMorgan's legal department, as well as compliance , risk, conflicts and operations partners. If you are...on all relevant legal and regulatory matters and relevant securities laws applicable to public and private offerings of… more
- MUFG (Irving, TX)
- …systems testing process globally, including engaging with key systems and compliance stakeholders and coordinating with regional teams to perform testing. ... flows and mapping, system specifications, key data elements, along with related compliance technology components. + Assess the controls in place and their design… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Adhere to internal department procedures and deadlines tonsure regulatory compliance and exemplary client service. Exceed established departmental service levels. ... issues and answering questions. + Serve as control point person in performing compliance requirements. + Train/Mentor new team members in all aspects of Global… more
- Thrivent Financial (Minneapolis, MN)
- …agency securities , and collateralized repurchase agreements. + Ensures continuous compliance with SEC Rule 2(a)7 and internal risk management guidelines. + ... accounts and portfolios. The role owns portfolio construction, risk management, and compliance with SEC Rule 2(a)7 and internal risk guidelines. Job Responsibilities… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …and other lines of business, including but not limited to Middle Office, Compliance , IT, Trading, Accounting; Fifth Third Securities ' Broker Dealer, National ... Sales & Trading departments. Under minimal supervision, assist Fifth Third Securities Institutional Brokerage teams, Middle Office, Fixed Income Traders, Equity… more
- Vanguard (Malvern, PA)
- …The Head of Brokerage Trade Operations is responsible for leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker-dealer. This role ... oversees the operational effectiveness, risk management, and regulatory compliance of mission critical brokerage operations, while also supporting client segments… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... role. **Job Description:** Preferred Qualifications: **Ready to be the Change at TD Securities ?** We are innovators and leaders in the change management space. Our… more
- ADP (El Paso, TX)
- …to successfully obtain and maintain their series 6 and 63 FINRA securities licenses._** **Job Responsibilities:** + Educates employees on account information, plan ... needed. **Job Requirements:** + FINRA Series 6 and 63 securities licenses and Securities Industry Essentials **(can...and a leader in business outsourcing services, analytics, and compliance expertise. We believe our people make all the… more