- Wells Fargo (Charlotte, NC)
- …Market/Brokered CD Middle Office Group as part of Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Charles Schwab (Chicago, IL)
- …FCRM AI and automation strategy and multi‑year roadmap across detection, investigations, operations , and risk mitigation. + Prioritize use cases against risk impact, ... influencing, and communication skills. + BS/BA degree required; advanced/professional degree or securities license(s) a plus. **What's in it for you** At Schwab,… more
- MUFG (New York, NY)
- …and external sources. + Oversight of facility closing procedures including both operations and documentation. **Advanced Client Solutions:** + Work within deal team ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- Edward Jones (St. Louis, MO)
- …Employment Policy and Compliance Counsel to support employment law compliance for US operations . This position is focused on providing legal advice and guidance in ... to personal and professional growth. + Work experience related to the securities industry is preferred. Read More About Skills/Requirements **Awards & Accolades** At… more
- Hantz Group (Saginaw, MI)
- …The role includes meeting prep, communicating with clients, following up with our operations team to follow up on business flow. Essential Job Functions: + Assist ... Vol Life, Flexible Spending + Eligibility Requirements Vary *Required Licenses- FINRA Securities Industry Essentials, FINRA Series 7, FINRA Series 66, State Life,… more
- Citigroup (Irving, TX)
- …services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with ... region of the world and every sector that shapes your daily life, our Enterprise Operations & Technology teams are charged with a mission that rivals any large tech… more
- Thrivent Financial (Crownsville, MD)
- …and requires a friendly, upbeat demeanor. The incumbent supports the daily operations of the practice, including, but not limited to: answering the phones, ... is $60,000 annually. There is an immediate growth track to obtain licensure in securities and life and health to ensure being able to provide the best client… more
- MUFG (Jersey City, NJ)
- …be available for monthly night rotation shifts to maintain 24-hour operations . **Education:** *Bachelor's degree in Computer Science or a closely-related discipline, ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- NatWest Markets (Stamford, CT)
- …Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business._ Be a member of a team of regulatory ... policy, parentalleaveand tuition reimbursement. **It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal… more
- Federal Reserve Bank (Cleveland, OH)
- …leadership and talent management skills. + Strong project management and operations management abilities, including the ability to manage multiple highly visible ... depository institutions. If you or your spouse/domestic partner or minor child own such securities and would not be willing or able to divest them if you accepted… more