- MUFG (New York, NY)
- …technical bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise ... trade flows, securities processing, cash management, and settlement across systems such as Broadridge BPS, ICI, COGNOS,...Maintain and update operating procedures, stay current on evolving broker ‑ dealer settlement rules and regulatory… more
- BlackRock (Wilmington, DE)
- …activity with providers. Key focuses include managing day-to-day broker / dealer and custody relationships, ensuring globally consistent trade confirmation ... of transactions with counterparties and custodians. General functions include trade confirmations, settlement governance, collateral management, margin and… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup, ... in regards to FRB process, FICC netting, and Fedwire settlement + Check for any Cxl'd and Corrected tickets...business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding… more
- Wells Fargo (Minneapolis, MN)
- …sensitive documents and transaction requests + Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of ... + 2+ years of experience in financial operations, preferably within a broker - dealer or wealth management environment. **Desired Qualifications:** + 2+ years… more
- Citigroup (Jersey City, NJ)
- …rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, ... platform encompasses a number of Surveillance/Control related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside… more
- Bank of America (Pennington, NJ)
- …Control and Reporting Services Team within Business Controls is responsible for Broker Dealer Separation Oversight, Identify & Access Management Governance, ... Management + Prioritization + Result Orientation + Mentoring + Research + Trade Operations Management **Line of Business Job Description:** The Business Controls… more