- Citigroup (Jersey City, NJ)
- …originating from trading desks and branch offices in coordination with the Operations -Transaction Services team. The overall objective of this role is to assist ... in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Individual mapped to this job description… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …role covers a broad area of responsibilities within Institutional Brokerage Operations , supporting Capital Markets Fixed Income, Equity, Fifth Third Money Market ... Sales & Trading departments. Under minimal supervision, assist Fifth Third Securities Institutional Brokerage teams, Middle Office, Fixed Income Traders, Equity… more
- TD Bank (New York, NY)
- …York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $200,000 USD TD is committed to providing fair ... Description:** The Global Markets Documentation Team is an integral part of TD Securities . GMD is a client facing team responsible for advisory services across… more
- Robert Half Management Resources (Dallas, TX)
- …and operational controls, including reserve computations, net capital calculations, and securities processing. * Evaluate risks across business operations , ... risk management. The successful candidate will bring extensive knowledge of broker-dealer operations and regulations, along with the ability to design and execute… more
- Fifth Third Bank, NA (Franklin, TN)
- …Support Specialist II provides office management support for registered securities representatives (eg, Investment Executives, or Wealth Management Advisors). ... to the banking center partners as requested. + Process and follow-up operations duties linked to new/existing accounts, risk management, marketing support, order… more
- Wells Fargo (New York, NY)
- …planning. + Handle matters that have a significant impact on the Company's operations , strategies, or profitability. + Review and analyze complex large scale or ... and compliance matters, including SEC, FINRA, NYSE/Nasdaq, and global securities laws and regulations. + Participate in industry efforts...a global investment bank + Deep knowledge of US securities laws, including the Securities Act of… more
- Thrivent Financial (Geneva, IL)
- …researching and communicating inquiries regarding their accounts and supports the daily operations of the practice, including, but not limited to: answering the ... Financial computer systems and programs in support of client relations, supports securities and insurance related tasks and other administrative tasks as assigned.… more
- Athene (West Des Moines, IA)
- …filing strategies to drive timely approvals and competitive speed-to-market. Regulatory & Securities Compliance + Advise on compliance with the Securities Act ... Offer practical, solutions-oriented legal advice to product management, marketing, and operations teams. + Balance legal considerations with business objectives to… more
- Thrivent Financial (Tallahassee, FL)
- …serves as a resource to established Financial Advisors and supports the daily operations of the practice, including, but not limited to utilizing Thrivent computer ... client relations and planning activities. The person in this role supports securities and insurance-related tasks and other administrative tasks as assigned. In… more
- Thrivent Financial (Minneapolis, MN)
- …short-term instruments including US Treasury bills, commercial paper, agency securities , and collateralized repurchase agreements. + Ensures continuous compliance ... policy limits. + Manage, develop and maintain strong relationships with securities dealers and counterparties including sales coverage, traders, and syndicate desks.… more