- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Securities Operations Associate in Strategic Execution in Quality Assurance as part of Transactions & Processing ... division . Learn more about the career areas and lines...tasks and help identify opportunities for process improvements within Securities Operations + Review basic or tactical… more
- Commerce Bank (Kansas City, MO)
- …the compensation range for some roles. This compensation range is for the Senior Securities Specialist - Wealth Operations job and contemplates a wide range of ... uniquely crafted for their goals. Commerce Trust is a division of Commerce Bank. About This Job The main...+ Research and make informed decisions related to Worthless Securities + Monitor various pricing and asset set-up reports… more
- Tradeweb (Jersey City, NJ)
- …department. The ideal candidate will have extensive knowledge of broker dealer operations , securities regulations, and financial reporting standards. You will be ... from Dealerweb management team **Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- Morgan Stanley (Baltimore, MD)
- We are seeking a Director-level business auditor to join our Institutional Securities Fixed Income audit team. The candidate will execute and lead assurance ... and Client Financing business operating and control environment. The Internal Audit Division (IAD) drives attention and resources to vulnerabilities by providing an… more
- US Bank (Charlotte, NC)
- …is currently searching for a Portfolio Manager to join a specialty industry division within the Financial Institutions Group. In this role, you will partner with ... manage a portfolio of credit relationships within both the Securities Industry ("SI"), and Private Capital and Global Asset...legal counsel on deal document review; and liaise with operations on deal closings. As a subject matter expert,… more
- Mizuho Corporate Bank (New York, NY)
- …and consulting function, designed to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York ... Singapore, IADA reports to and composes the overseas arm of MHBK's Internal Audit Division (IAD). Job Summary Develop and execute a robust audit program of Mizuho's… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …in the securities industry. * Principles of banking and finance and securities industry operations . * Financial markets and products. * Financial advisors' ... with ten (10) years of management experience, and sales management experience in the securities industry required. OR ~ * Master's Degree in a related field with a… more
- Morgan Stanley (New York, NY)
- …Interest Rate and Foreign Exchange Products and Distribution. Professionals in the Division assess and actively manage risk, trade securities , and structure ... Fixed Income Division and focused on Credit Products, including Municipal Securities and Structured Products Group ("SPG"). The Business Control Unit within FID… more
- Louisiana Department of State Civil Service (Baton Rouge, LA)
- …The Louisiana Department of Treasury has one vacancy located in the Investments Division . The Investments Division manages over $16.4 billion in investments in ... funds for health care, education, and transportation. The Investments Division also manages the investments in the START college...prudent and profitable trading of fixed income and/or equity securities in order to satisfy the cash management and… more
- Truist (Atlanta, GA)
- …This role is responsible for processing transactions that supports Derivative Trading, Securities Trading, Loan Trading or Agency Services Lines of Business within ... Capital Markets Operations . Major responsibilities include working on core operational tasks including Client On-Boarding, Trade Capture, Securities Settlement… more
- Truist (Orlando, FL)
- …originated through a variety of channels including the Community Bank, Wealth Division , Premier, Team Mate Banking and Electronic Delivery Channels in a centralized ... releases, conservation and regular easements including collateral types of Securities , Real Estate (1-4 Family and Commercial), Marine, Auto, Boat/Motor/Trailer,… more
- Bank OZK (Little Rock, AR)
- …Trust system processing support to customer accounts for the Trust and Wealth Division related to certain accounting and securities transactions to include ... upon request. + Provides backup and cross-team support for other functions within the Operations department of the Trust and Wealth Division . + Maintains good… 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 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers… more
- Vanguard (Malvern, PA)
- …the primary risk partner for the leadership of Vanguard's critical investment operations that work with portfolio management functions to facilitate trading, manage ... data, provide information on cash and securities , manage collateral, and maintain books and records for...risk guidance and oversight of Vanguard's investment and fund operations globally. In this role you will lead risk… more
- Capital One (New York, NY)
- …and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One, as necessary. The broker dealers ... being supported include Capital One Securities , Inc., KippsDeSanto & Co., TripleTree, LLC. (collectively "Commercial...7 years of experience working in compliance, legal, audit, operations or finance within financial services OR at least… more
- MUFG (Irving, TX)
- …provide more details. **Job Summary:** Reporting to an Anti-Money Laundering (AML) Operations Department Manager, the AML Operations Team Leader supervises a ... in support of the Bank's BSA/AML program. The AML Operations Team Leader will oversee the work of up...in AML quality control processes in concert with the division 's overall Quality Control (QC) program. Assist assigned AML… more
- Morgan Stanley (Seattle, WA)
- …global financial services firm providing a wide range of investment banking, securities , wealth management and investment management services. With offices in more ... part of Morgan Stanley Investment Management, the asset management division of Morgan Stanley. We partner with advisors, institutions,...remaining days of the week. ABOUT THE TEAM The operations department consists of a team of professionals that… more
- City National Bank (Los Angeles, CA)
- *COUNSEL- BANKING OPERATIONS * WHAT IS THE OPPORTUNITY? City National Bank is seeking a mid-level attorney with 5-10 years' relevant experience to support commercial, ... consumer and professional deposit activity, and general bank operations . An ideal candidate will have demonstrated background or skillset in one or more of the… more
- Truist (Richmond, VA)
- …Responsible for protecting the firm from inherent risks from securities transactions. Responsible for reviewing and approving money movement transactions. ... for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life… more
- Siebert Williams Shank (New York, NY)
- …minimize bureaucracy and process burden * Provide compliance support for the Municipal Securities Division , with a focus on the Public Finance underwriting ... changes to the taxable fixed income, municipal & equity securities sales & trading, public & corporate finance groups,...a SEC registered and FINRA member broker-dealer * Have Operations experience including but not limited to TRACE, RTRS,… more