- System One (Tulsa, OK)
- The Securities Services Operations Specialist I is primarily responsible for all transactional processing supporting Wealth Management accounts on the trust ... accounting system including setting up and maintenance of securities , transactional processing, trade execution and settlement, foreign currency exchange, valuations… more
- Citigroup (San Antonio, TX)
- … Principal in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities across ... be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit.… more
- Citigroup (Fort Lauderdale, FL)
- …Risk Officer role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role responsible for executing day-to-day supervisory activities ... be expected to work closely with a diverse group of support and control functions including Business Risk, Compliance, Operational Risk, Legal and Internal Audit.… more
- Morgan Stanley (Purchase, NY)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... diversity and inclusion. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve, and grow. The… more
- Morgan Stanley (Purchase, NY)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... diversity and inclusion. Morgan Stanley can provide a superior foundation for building a professional career - a place for people to learn, achieve, and grow. The… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** As a Director of Compliance within Principal Global Investors you'll support Private Funds. This person will primarily support the private funds ... forensic testing. + Developing compliance policy, procedure, questionnaire, and control recommendations designed to mitigate compliance risks and prevent violations… more
- Principal Financial Group (Des Moines, IA)
- …activities performed are completed in compliance with established regulatory and internal control procedures and guideline and also involved in fund actions to aid ... and business needs. Assist in providing oversight of data and input into control environment for financial reporting. + Oversight of 3rd party service provider -… more
- Morgan Stanley (Miami, FL)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...and the review, identification of enhancements and execution of control testing as part of the Risk and … more
- Principal Financial Group (Des Moines, IA)
- …performed are completed in compliance with established regulatory and internal control procedures and guidelines. + Financial Statement Prep and Regulatory ... as required. Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We… more
- Morgan Stanley (Miami, FL)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...and US Banks businesses > Lead the remediation of control gaps and deficiencies identified from Annual Risk Assessments… more
- MUFG (Tampa, FL)
- …and assess the effectiveness of the Bank's governance, risk management and control processes. This role includes, but is not limited to, independently owning ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Effectively manage executive relationships (internally… more
- MUFG (Tempe, AZ)
- …effectiveness of the Bank's Data or Change Management governance, risk management and control processes. This role includes, but is not limited to, execution of ... industry best practices, applicable regulations, and internal and external professional practice expectations. + Act as a leader and...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- MUFG (Tampa, FL)
- …also operating within industry best practices, applicable regulations, and external professional practice expectations + Build relationships with peers and clients ... organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity...choices are rooted in good judgment and support MUFG's Principal of Ethics and Conduct. + Operate with an… more
- Morgan Stanley (Miami, FL)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...of target operation models. . Responsible for establishing in-business control programs and overseeing the execution and health of… more
- Morgan Stanley (Purchase, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities Group (ISG), Global Wealth ... in ensuring the Business Risk Program includes elements to identify measure, monitor, control , and report on the current and emerging risks and mitigating control… more
- Morgan Stanley (Tampa, FL)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...and appropriately to stakeholders. * Document and track change control milestones and tasks for multiple projects and programs.… more
- Morgan Stanley (Miami, FL)
- …a global financial services firm that conducts its business through three principal business segments-Institutional Securities , Wealth Management (WM), and Asset ... Stanley can provide a superior foundation for building a professional career - a place for people to learn,...* Experience in QC/QA functions performing an end-to-end Quality Control KYC review of new onboarding and periodic review… more
- MUFG (Tampa, FL)
- …evaluate and assess the effectiveness of the Bank's governance, risk management and control processes. This role includes, but is not limited to, supporting general ... within industry best practices, applicable regulations, and internal and external professional practice expectations. + Build relationships with peers and clients… more
- Morgan Stanley (New York, NY)
- …global financial services firm that conducts its business through three principal business segments-Institutional Securities Group ("ISG"), Global Wealth ... and executing on the department's strategy to enhance the risk control environment by leveraging emerging technology, automation, dashboarding etc. for efficient… more
- Raymond James Financial, Inc. (Newark, NJ)
- …business needs. **Department Overview** SumRidge Partners LLC is a top ranked principal based fixed income market maker, specializing in high yield and investment ... grade corporate bonds, municipal bonds, institutional preferred securities and emerging market bonds. SumRidge Partners was formed in 2010 following the aftermath of… more