- Wells Fargo (Salt Lake City, UT)
- …documents and transaction requests **Required Qualifications:** + 5+ years of Securities Operations experience, or equivalent demonstrated through one or ... this role:** Wells Fargo is seeking a Metrics, Capacity Planning and Forecasting Specialist within the Workforce Management and Capacity Planning team to lead and… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** At TD Securities , the Investment Banking Credit function is an integral part of the full ... markets and banking advice and transaction executions worldwide. TD Securities offers its US based employees the advantage of...a major global investment dealer. Confidence in our US operations systems stems from the recognition of our in-depth… more
- MUFG (New York, NY)
- …of our recruitment team will provide more details. Title: Settlement Technology Integration Specialist Summary We are seeking a senior settlement system support ... specialist to serve as the technical bridge between operations and the technology that powers our broker-dealer settlement engine. This role requires deep… more
- PNC (Louisville, KY)
- …opportunity to contribute to the company's success. As a(n) Compliance Program Specialist Senior within PNC's Regulatory Compliance Governance organization, you ... Baltimore, MD or Louisville, KY. As a Compliance Program Specialist Senior , you will support investment advisory...and a deeply experienced team. Familiarity with corporate and securities operations is highly valuable for success… more
- TD Bank (White Plains, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic ... key risk metrics and escalate issues as necessary to senior management + Leads the development, maintenance, and enhancement...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Raymond James Financial, Inc. (Southfield, MI)
- …and procedures used in the securities industry + Principles of securities industry operations and financial services and products **Other Skills:** * ... Authority (FINRA) Series 99 - Operations Professional + FINRA Series 7 - General Securities Representative + Certified Investment Services Professional (CISP) more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our team within Branch Infrastructure and Operations group as ... offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required * This role… more
- MUFG (Jersey City, NJ)
- …on researching potential cybersecurity threats to various systems, technologies, operations , and programs throughout multiple environments. You will perform analysis ... system software and hardware security controls, access controls, computer operations , physical and environmental controls, and backup and recovery procedures.… more
- Commerce Bank (Kansas City, MO)
- …of the compensation range for some roles. This compensation range is for the Income Specialist - Wealth Operations or Senior level job and contemplates a ... of this job is to monitor and post all domestic and foreign securities related dividends, interest, and principal pay-down payments to the Commerce Trust Company… more
- TD Bank (New York, NY)
- …the Bank's risk appetite and strategic direction. **Depth & Scope:** + Senior specialist with AML/ATF/Sanctions/ABAC expertise, works independently and is ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD … more
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