- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Specialist . This role is critical for the setup, ongoing support, and expansion of ... Operations. Some of the key responsibilities include: + The Senior Securities Operations Specialist will...sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making… more
- Citigroup (Tampa, FL)
- **Job purpose:** Securities Service is a key business within the Citi Institutional Clients Group. The business covers Custody, Funds Services and Direct Custody ... of clients and be responsible for implementing an appropriate service delivery governance structure focused on proactive client management. It is within the remit… more
- SMBC (Charlotte, NC)
- …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
- Morgan Stanley (Miami, FL)
- …financial services firm providing a wide range of investment banking, securities , investment management, and wealth management services. The Firm's employees serve ... negative news processes for Morgan Stanley. The Financial Crimes Governance and Program Management function is a component of...responsible for supporting the following: * Serve as a senior risk manager for 1L Financial Crimes responsible for… more
- Wells Fargo (Corte Madera, CA)
- **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment ... are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs… more
- Morgan Stanley (Purchase, NY)
- …that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset Management. Morgan Stanley provides ... due diligence, and negative news processes for Morgan Stanley. The Financial Crimes Governance and Program Management function is a component of the broader WM and… 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
- 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 MANUBANK, JRI America, Inc.,… more
- TD Bank (Tampa, FL)
- …expertise and expert knowledge of Agile/Scrum processes, roles and practices + Senior specialist providing advisory services to executives, business segment ... specific details for this role. **Job Description:** The Commercial Senior Business Management and Controls Specialist role.../ remediation plans to address performance / risk / governance issues + Keeps abreast of emerging issues, trends,… more
- Federal Reserve Bank (Cleveland, OH)
- …focused on the effectiveness of risk identification, risk management and governance practices for risk discipline. Ensures supervised institutions are in compliance ... communicating complex and problematic supervisory findings and required actions to senior management and board of directors. + Prepare supervisory plans for… more
- Morgan Stanley (Seattle, WA)
- …paced and complex environment, and can drive conversations to obtain desired results. The Senior Risk & Controls Specialist brings a deep understanding of IT and ... diversifying its workforce (M/F/Disability/Vet). #LI-CG2 **Job:** **Risk Management* **Title:** * Senior Risk and Controls Specialist - Parametric* **Location:**… more
- Morgan Stanley (New York, NY)
- …Produce a Project Charter > Prepare project/workstream plans and gain agreement with senior management through governance > Liaise with program management if the ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… more
- Morgan Stanley (Purchase, NY)
- …that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset Management. Morgan Stanley provides ... Skills Desired:* * Graduate degree is a plus * Certified Anti-Money Laundering Specialist (CAMS) designation is a plus * Proficiency with MS Office applications… more
- TD Bank (Mount Laurel, NJ)
- …emerging trends and; identifying issues and opportunities and recommending action to senior management in the governance and control space **Shareholder ... United States of America **Hours:** 40 **Line of Business:** Governance & Control **Pay Detail:** $86,840 - $130,000 USD...area/function and the Bank LIAMCB-Other **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (Mount Laurel, NJ)
- …more specific details for this role. **Job Description:** The Business Mgmt Specialist manages a diverse portfolio of business management activities for complex or ... policies / processes and/or initiatives to meet business management, strategy and governance objectives. Interfaces regularly with management in the delivery of work… more
- Citigroup (New York, NY)
- The Credit Sector Specialist is a Vice President level position responsible for overseeing client analysis and reporting, in coordination with the Leveraged Trading ... + Define metrics with partners to be distributed to senior management and other stakeholders + Develop the risk...have an appropriate level of focus + Leading strong governance and controls: + Work in close partnership with… more
- Federal Reserve Bank (San Francisco, CA)
- …is responsible for driving the LISCC supervisory program (covering Capital, Governance and Controls, Liquidity, Recovery and Resolution Planning, and Monitoring and ... Analysis) for domestic global systemically important banks (G-SIBs). The Risk Specialist Team (RST) within S+C's Risk, Policy and Analysis area includes individuals… more
- Wells Fargo (Charlotte, NC)
- …in-depth business knowledge of derivative products and markets. **About this role:** The Senior Lead Securities Quantitative Analytics Specialist is an ... for less experienced staff **Required Qualifications:** + 7+ years of Securities Quantitative Analytics experience, or equivalent demonstrated through one or a… more
- Morgan Stanley (Tampa, FL)
- …that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset Management. Morgan Stanley provides ... responses across the KYC Office during regulatory exams and/or audits, supporting governance forums required for execution monitoring and oversight. This role will… more
- Morgan Stanley (Tampa, FL)
- …that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset Management. Morgan Stanley provides ... Office teams in partnership with the Financial Crimes Risk Governance and PMO team. > Support governance ...teams and/or departments. > Ability to direct and drive senior stakeholders towards a common goal with high emotional… more