- Thrivent Financial (Minneapolis, MN)
- Analyst who supports both the systems and the processes of the Brokerage Operations business unit. The position requires brokerage technical knowledge and ... by creating and maintaining documentation, providing support, and training for brokerage processes + Manages and successfully delivers moderately complex projects +… more
- Citigroup (Tampa, FL)
- …platforms, clients and businesses are maintained. **Job Purpose - Global Head of Brokerage Services, Futures and Derivatives Clearing Operations ** , The global ... Head of Brokerage Services, Futures and Derivatives Clearing Operations , will report to the Global Head of Futures and Derivatives Clearing. The successful… more
- HSBC (New York, NY)
- …our investors, our communities and the planet we all share. As our Prime Brokerage - Client Transition Manager you will: + Manage the end-to-end onboarding of hedge ... HSBC teams including but not limited to; Legal, IT, Operations , Trading, Margin, Risk and various Global Markets execution...contribute to the profitability and growth of the Prime Brokerage client base by delivering an excellent client experience… more
- Citigroup (Tampa, FL)
- …+ ** Control Framework Development:** Support the development of an effective control framework that meets Audit, Compliance, and Regulatory requirements. + ... The Investment Brokerage Operation Analyst is a seasoned professional role...issues in collaboration with the IT support team. + ** Regulatory and Audit Requests:** Assist with regulatory … more
- JPMorgan Chase (Tempe, AZ)
- …industry. + 5 years of experience in a Supervision, Compliance, Surveillance, Operations , or Control capacity. + FINRA Series 7, 66 (63/65), ... will play a crucial role in ensuring our trading operations comply with FINRA rules and industry regulations. You...Your work will contribute to our firm's commitment to regulatory excellence and client trust. **Key Responsibilities:** + Review… more
- Vanguard (Malvern, PA)
- …business operations and initiatives, identify, and respond to ongoing regulatory changes, and implement required policies and procedures inclusive of appropriate ... skills. As a trusted leader, the Head of Retail Regulatory Enablement, will also provide strategic direction to a...Legal Department, Compliance Department colleagues, global partners, and other control groups. + Serve as a trusted advisor to… more
- Citigroup (Irving, TX)
- …for the quality, completeness, and accuracy of the implementation of the regulatory governance control analysis, remediation, applicability and mapping Framework ... improved monitoring controls and compliance metrics + Assist leadership in exercising control over Regulatory Operational and Compliance Risks in accordance with… more
- Citigroup (Getzville, NY)
- …and Control Advisory + A Centralized Controls function comprised of Regulatory Control & Governance, Control Solutions & Risk Remediation, ... processes and drive strategy across our industry. **Team Overview:** The **Markets Operations COO Controls and Regulatory Management** function is comprised of:… more
- Citigroup (New York, NY)
- …and Control Advisory + A Centralized Controls function comprised of Regulatory Control & Governance, Control Solutions & Risk Remediation, ... processes and drive strategy across our industry. **Team Overview:** The **Markets Operations COO Controls and Regulatory Management** function is comprised of:… more
- Citigroup (Tampa, FL)
- …interface with the firm's business and finance partners, internal technology, regulatory compliance, and other Markets Operations teams. The candidate ... Citi is seeking a Vice President within Markets Operations organization supporting our Exchange Traded Derivatives and...the lens of the audience. + Adhere to all control , compliance and regulatory requirements impacting function.… more
- Citigroup (Getzville, NY)
- …end to end control framework that fully meets Audit, Compliance and Regulatory requirements + Ensuring the infrastructure and tools are in place to effectively ... 3 player in the market, Equity (Cash, Derivatives, Prime Brokerage , Futures, Listed Derivs, FXPB) where Citi has a...beyond own area + Accountable for integrity of process, operations and end results. Implements a successful risk/ control… more
- Citigroup (Jersey City, NJ)
- …our industry. **Team/Position Overview:** Margin & Collateral Optimisation within Markets Operations helps mitigate risk and comply with regulatory requirements, ... **Organization Overview:** Markets Operations represents the evolution and transformation of ...3 player in the market, Equity (Cash, Derivatives, Prime Brokerage , Futures, Listed Derivatives, Clearing and Foreign Exchange Prime… more
- Citizens (Johnston, RI)
- …department. Primary responsibilities include: + Trade entry, order execution, and quality control + Initiate and submit trades for mutual funds, UITS, structured ... over the phone and through paperwork + Adhere to regulatory requirements for TRACE, RTRS, and CAT. + Assist...1 - 3 years of experience in Financial Services Brokerage and/or Wealth Management + Series 7 & 63… more
- Siemens Energy (Charlotte, NC)
- …requirements in an optimal and efficient manner. The SE US Customs Operations Specialist will facilitate transactional support for US imports and exports. This ... role reports to Head of Customs Operations and will be based in Orlando, FL, Charlotte,...with cross-functionalprojects related to trade transactions and implementation of regulatory customsrequirements for all SE US businesses and its… more
- First Horizon Bank (Memphis, TN)
- …**Location:** On site at location listed in job posting. At First Horizon Bank Operations , we are on a mission to deliver a seamless customer experience. We are ... at serving their customers one opportunity at a time. **Summary:** The Loan Operations Senior Account Specialist is responsible for managing the quality control … more
- Charles Schwab (Westlake, TX)
- …that target governance processes, risk management programs, internal controls, and regulatory compliance. The team also shares responsibility for regulatory ... and advisor-sponsored banking and personal trust services to complement Schwab's brokerage capabilities. Business trust services are provided for entities seeking… more
- CIBC (New York, NY)
- …issues and net new rule requirements; + Infrastructure support groups (eg, Finance and Operations ) to collaborate on control issues; + US Legal to seek ... 2) monitor activities to ensure compliance with CIBC policies and industry regulatory requirements; 3) assist senior compliance officers on specific regulatory … more
- Citigroup (Irving, TX)
- …degree or equivalent experience, potentially Master's degree with experience in operations , compliance, legal or other control -related function in the ... including consumer banking and credit, corporate and investment banking, securities brokerage , transaction services, and wealth management. As a bank with a… more
- Citigroup (Getzville, NY)
- **Organization Overview:** Citi Market Operations is currently at a pivotal point in its evolution and journey to implement a target operating model. We take pride ... a presence in over 60 Countries; covering all front post execution Operations teams including product aligned Middle Office groups, Settlements, Margin, Asset… more
- Citigroup (New York, NY)
- **Organization Overview:** Citi Markets Operations is currently at a pivotal point in its evolution and journey to implement a target operating model. We take pride ... a presence in over 60 Countries; covering all front post execution Operations teams including product aligned Middle Office groups, Settlements, Margin, Asset… more