- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate supporting Commercial Paid Loans within Wealth & Investment Management Operation ... division . Learn more about the career areas and lines...tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical issues, policies… more
- Wells Fargo (Charlotte, NC)
- …money movement specialist within WIM (Wealth & Investment Management) Operations division . This position is responsible for reviewing money movement transactions ... 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
- 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
- Morgan Stanley (Baltimore, MD)
- We're seeking someone to join our team as a Director in Institutional Securities Fixed Income Operations who will be responsible for supervising the Global Loans ... Secondary Trade Closing team members in coordinating with ...trading portfolio of secondary loan trades. In the Operations division , we partner with business units across the Firm… 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
- 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)
- …to its employees. **Role Description** SMBC is seeking an Associate to join the Compliance Governance team of SMBC Americas Division . This role contributes to ... 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 (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
- SMBC (Jersey City, NJ)
- …will play an integral role partnering with different areas of the Americas Division Technology, Compliance Analytics, Model Risk and Validation to leverage ... 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
- State of Minnesota (St. Paul, MN)
- …+ **Hiring Agency/Seniority Unit** : Commerce Dept / Commerce-Unrepresented + ** Division /Unit** : Financial Institutions Securities + **Work Shift/Work Hours** ... work will involve the following: * Review and analyze securities exemptions and franchise filings to ensure compliance...Qualifications** Applicants must be a student in a college/university, trade or technical school, if a student is enrolled… 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
- S&P Global (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
- Bank of America (Sacramento, CA)
- …Summary:** The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational ... to 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
- Truist (Atlanta, GA)
- …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
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