- Wells Fargo (Charlotte, NC)
- …team, this position requires extensive experience in cash management, regulatory compliance and process optimization. The Lead Securities Operations Specialist ... **About this role:** Wells Fargo is seeking a Lead Securities Operations Specialist overseeing Funding and Liquidity for Wells Fargo Clearing Services, playing a… more
- DuPont (Wilmington, DE)
- …transactions and assisting with other banking and investment matters. + Ensure compliance with applicable securities regulations; partner with the External ... independence to ensure that work is done ethically and compliance with law. Demonstrate a commitment to all DuPont...from counsel, the filing and effectiveness of Form 10 registration statements with the US Securities and… more
- Netflix (Los Angeles, CA)
- …Governance ("ESG") reporting. Responsibilities + Support various corporate governance and securities matters, including SEC and NASDAQ compliance , and capital ... for a dynamic Manager to join the Governance & Securities Team within the Corporate Legal Team. The role...with the preparation of regulatory filings, including proxy statements, registration statements, Forms 10-K, 10-Q, and 8-K, and manage… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Securities Algorithmic Trader, to assist in designing, building and running profitable systematic market making ... in developing, implementing, and monitoring risk-based programs to trade securities for Securities Algorithmic Trading + Review...individual **Job Expectations:** + Up to 5% travel + Registration for FINRA Series 7 must be completed within… more
- Citigroup (Getzville, NY)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and ... used to present information to management + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- Citigroup (Tampa, FL)
- The Securities & Derivatives Group Manager is a senior management level position responsible for accomplishing results through the management of a team or department ... objective of this role is to ensure the seamless delivery of securities and derivatives transactions. **Responsibilities:** + Manage a complex critical large… more
- Capital One (New York, NY)
- …mortgage backed securities ) and equity trading. + Familiarity with securities licensing and registration protocols + Provide CBD LOBs support/advice ... NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report… more
- SMBC (Jersey City, NJ)
- …Room. It administers the SMBC Employee Investment Policy, arranges for the registration of broker-dealer personnel, and conducts compliance training. In ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Fifth Third Bank, NA (Charlotte, NC)
- …Discover a career in banking at Fifth Third Bank. GENERAL FUNCTION: Chief Compliance Officer, this position is responsible for ensuring policies and procedures for ... of the Investment Advisers Act of 1940 and other securities laws. The covered regulations include, but are not...the firms' implementation of and adherence to all regulatory compliance requirements; and educate, update and train the Registered… 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers… more
- The Hershey Company (Hershey, PA)
- …Counsel SEC, Governance & M&A. This position will be responsible for ensuring compliance with securities laws, rules and regulations, including preparation and ... filing of Forms 8-K, 10-Q and 10-K, registration statements on Forms S-1 and S-3, annual proxy...Major Duties/Responsibilities: * * Summary of major duties:* * Securities and Corporate Governance* -Ensure compliance with… more
- Vanguard (Malvern, PA)
- …In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while ... providing exceptional, high-value business partnership and compliance support. In addition, Vanguard is an employer of choice that continually invests in the growth,… more
- MUFG (Irving, TX)
- …Are you a hard-working and resourceful candidate interested in pursuing a career in compliance and the banking industry? This opportunity might be right for you. As ... part of the Compliance Analyst Program, the Analyst will work closely with...to support risk assessment, testing, monitoring, control room, surveillance, registration , and reporting, amongst other activities + Support updates… more
- Palo Alto Networks (Santa Clara, CA)
- …on Forms 10-K, 10-Q, 8-K, our proxy statements for shareholder meetings, and registration statements + Advise on compliance with rules and regulations applicable ... and work on a broad range of corporate and securities law matters. You will be part of a...16 reporting, including Forms 3, 4, and 5, ensuring compliance with reporting requirements + Primary role in the… more
- US Bank (Charlotte, NC)
- …**Job Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function, ... risk management framework. Participates in projects and/or activities that ensure compliance with applicable federal, state, and local laws and regulations.… more
- Citigroup (Tampa, FL)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems ... which require an in-depth evaluation of basic securities processing procedures and industry standards + Offer advanced solutions for assigned securities … more
- Thrivent Financial (Helena, MT)
- …management system + Provides fund values and answers other securities (including, if appropriately licensed, variable insurance and annuities) product-related ... associates to assist customer/member to purchase , sell, hold or exchange securities products + Verbal or written communications with prospective or existing… more
- Wells Fargo (Charlotte, NC)
- …appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. ... and technical facts affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7… more