- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist in Transactions & Processing as part of the Business Operations division . Learn ... lifecycle support initiatives and identify opportunity for process improvements within Securities Operations + Review and analyze basic or tactical functional… more
- MUFG (Irving, TX)
- …team will provide more details. Job Description Within the Global Financial Crimes Division (GFCD), the Head of Trade Finance AML Advisory reports into ... the Global Head of AML Advisory. The Trade Finance AML Advisory Manager will report to the...coordinates with other areas of the Global Financial Crime Compliance team to build partnerships and best practices. +… more
- Truist (Atlanta, GA)
- …and providing guidance on core operational tasks including Client On-Boarding, Trade Capture, Securities Settlement and Clearance, Confirmations, Client Support ... job description:** Provides operational support to various trading desks by processing trade settlements for primary and secondary loan trades. Works with clients,… more
- SMBC (New York, NY)
- … compliance processes. SCOPE Provide advice and oversight of SMBC's infrastructure compliance program, including bank, securities and swap dealer laws and ... reports. **Role Objectives** + Coordinate bank, broker-dealer, and swap dealer regulatory Compliance programs across SMBC's Americas Division for all support… more
- Capital One (New York, NY)
- …equity research, investment banking and mergers and acquisitions. + Experience with trade surveillance of fixed income (asset backed securities including ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor...support to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as… more
- Morgan Stanley (New York, NY)
- …Distribution. Professionals in the Division assess and actively manage risk, trade securities , and structure as well as execute innovative transactions in ... Fixed Income Division and focused on Credit Products, including Municipal Securities and Structured Products Group ("SPG"). The Business Control Unit within FID… more
- SMBC (Jersey City, NJ)
- …for the Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD"), reporting to the Executive Director, Head ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …Reporting to the Data Analytics Vice President, FCC Analytics, in the Compliance Department, Americas Division , the Data Analytics Associate performs detailed ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- SMBC (Jersey City, NJ)
- …SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ("CPAD"). This team focuses on several key ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (New York, NY)
- …success of the Compliance Department as a key contributor to the Compliance advisory function of the Americas Division . This position will work directly ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- Maryland Department of Transportation (Baltimore City County, MD)
- …duration, and convexity relative to benchmark bond indices; + Trade execution, including senior management notification/justification, solicitation via trading ... relative value analysis, make-whole call analysis, trustee bank communications, trade settlement problem resolution; + Total return performance calculations… more
- SMBC (White Plains, NY)
- …knowledge of the banking systems (Loans, Leases, Deposits, FOREX, Derivatives, Securities , etc.) and methodologies for achieving AML compliance . **Additional ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail… more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** Reporting to the Director, FCC Analytics in the Compliance Department, Americas Division , the Data Analytics Director performs ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:… more
- Bank of America (Indianapolis, IN)
- …us! The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational activities ... the business unit and the firm. * The Supervisory Manager (SM) reports to the Division Supervision manager. The SM is a member of the Branch Leadership Team, along… more
- S&P Global (New York, NY)
- …Understands and makes well-reasoned design (could mean refactoring / modernization) decisions and trade -offs and is able to articulate the same to other teams and ... businesses, governments, and institutions. S&P Global Ratings is a division of S&P Global (NYSE: SPGI). S&P Global is...for greater opportunity for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,… more
- Truist (Charlotte, NC)
- …include working on core operational tasks including Client On-Boarding, Trade Capture, Securities Settlement and Clearance, Confirmations, Client ... This role is responsible for processing transactions that supports Derivative Trading, Securities Trading, Loan Trading or Agency Services Lines of Business within… more