- 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
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Thrivent Financial (Faribault, MN)
- …for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and ... or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (eg conducting due… 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
- 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
- Robert Half Management Resources (Charlotte, NC)
- …on a long-term contract basis remote. This role requires deep expertise in securities lending, sponsor repos, and risk management strategies, with a focus on ... counterparty risk and regulatory compliance . The ideal candidate will provide critical guidance on financial risk metrics and help address gaps in risk monitoring… more
- ADP (Dallas, 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
- Wells Fargo (New York, NY)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... **About this role:** Wells Fargo Securities (WFS) is an integrated corporate and investment...relevant groups supporting the Equity division (ie Finance, Operations, Compliance , Internal Audit, Business Control, and Legal) across various… more
- Wells Fargo (Charlotte, NC)
- …Office role will be responsible for supporting the Residential Mortgage-Backed Securities (RMBS) Pass-through Sales & Trading business. The initial responsibilities ... training, military experience, education **Desired Qualifications:** + 2+ years of Securities Operations experience + Knowledge and Understanding of the Fixed-Income… more
- TD Bank (New York, NY)
- …is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, ... operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS… more