- TIAA (Dallas, TX)
- …activity. + Reviews each account to ensure that they are in compliance with laws, regulations and internal audit. **Educational Requirements** + University (Degree) ... include the following demonstrated skills and traits:** **Industry Knowledge** + Brokerage securities knowledge (ie, cost basis, stock splits, etc.) + Understand and… more
- Thrivent Financial (Houston, TX)
- …financial advisors are assigned to this position, this position will require securities registrations, state insurance licenses and appointments in all states where ... authority or at tained within 90 days . State securities registered and insurance licensed and appointed in all...that are assigned. + Satisfactory background check and clean compliance record. + Flexibility to travel within the area… more
- Bank of America (Charlotte, NC)
- …in the production, review and analysis of the derivatives and securities transactions captured in the FRY9C and FFIEC031 Consolidated Financial Statements ... skills **Desired Qualifications:** + Degree in Accounting/Finance + Derivatives and securities subject matter expert **Skills:** + Data and Trend Analysis +… more
- M&T Bank (Clanton, AL)
- …with members of the Secondary, Servicing, Accounting, Finance, Treasury, Compliance , Legal, Audit, and various investment bankers/investors, and vendors. **Education ... field and a minimum of 6 years' related experience focused on mortgages/mortgage-backed securities , or lieu in of degree, a combined minimum of 10 years' higher… more
- Principal Financial Group (Kansas City, MO)
- …and procedures that drive operational excellence, support growth, and ensure compliance . **Key Responsibilities:** + Provide leadership and direction for assigned ... 5+ years in leadership. + Deep knowledge of investment products, securities processing, and related technology. + Strong understanding of investment markets,… 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
- 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
- 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
- Citigroup (New York, NY)
- …managers performance and update monthly + Provide high level of support to Securities Specialists including but not limited to, client market updates, new account ... Private Banking Universe including Private Bankers, RO's, Investment Counselors, Securities Specialists and/or Wealth Team including Advisors, Relationship Managers,… more
- JPMorgan Chase (Newark, DE)
- …for institutional investors. As a Data Solutions Operations Associate within the Fusion Securities Data (FSD) team, you will play a crucial role in advancing Fusion, ... data quality management within the Fusion platform, a vital component of Securities Services. **Job Responsibilities:** + Lead the execution of strategic initiatives… more