- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist in the Trust Services team within Wealth & Investment Management within our ... complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations . + Review and analyze basic or tactical… more
- …releases, conservation and regular easements including collateral types of Securities , Real Estate (1-4 Family and Commercial), Marine, Auto, Boat/Motor/Trailer, ... (system and manually generated) for closing packages including promissory notes, security agreements, funding information and other required documents in compliance… more
- Lincoln Financial (Charlotte, NC)
- …administration compliance with the Investment Company Act of 1940 as well as the Securities Acts of 1933 and 1934 . Maintains a working knowledge of strategic ... . Act as Business Resource for various teams within Fund Administration Operations (FAO). This includes assisting with issue resolution, special requests, process… more
- City National Bank (Raleigh, NC)
- …Capital Markets, Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively ... the business process or activity being audited.* Assess information security and privacy policies and procedures to identify weaknesses...the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions… more