- Wells Fargo (Charlotte, NC)
- …& Company. Our clients have access to Wells Fargo Advisors, referrals from securities -registered bankers in the Consumer Bank and the Wells Fargo Private Bank, our ... Investment Institute (WFII) produces research on third-party managers, funds, and securities ; develops investment guidance; and creates model asset allocation and… more
- Wells Fargo (Charlotte, NC)
- …Lead Capital Markets Transaction Manager supporting its Commercial Mortgage Loan & Securities Finance group. **In this role, you will:** + Review and negotiate ... + Identify and mitigate business and legal risks within compliance requirements + Identify and recommend opportunities for improvement...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Danbury, CT)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required +… more
- Wells Fargo (Minneapolis, MN)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required + Specific … more
- Wells Fargo (Deptford, NJ)
- …experience, training, military experience, education + Successfully completed Securities Industry Essentials (SIE) exam or equivalent **Desired Qualifications:** ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Truist (Charlotte, NC)
- …appropriately reflecting Truist's financial position and results of operations in compliance with GAAP and regulatory requirements. Coordinate efforts to respond to ... reporting requirements for all assigned lines of business and functions, ensuring compliance with GAAP and regulatory requirements. Such complex issues include, but… more
- SMBC (Charlotte, NC)
- …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
- Wells Fargo (Pasadena, CA)
- …will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition ... acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required. + Obtaining… more
- Wells Fargo (New York, NY)
- …& Company. Our clients have access to Wells Fargo Advisors, referrals from securities -registered bankers in the Consumer Bank and the Wells Fargo Private Bank, our ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Deloitte (New York, NY)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... securities clients? If you answered "Yes" to any of...Services group, you will provide federal tax consulting and compliance services to clients in the banking and financial… more