- Alight (Charlotte, NC)
- …careers.alight.com. **About the Role** This position will provide regulatory compliance support to Alight Solutions' broker-dealer and registered investment advisor ... businesses. The analyst will help to mitigate legal exposure/risk to the...inquiries + Checking registration of new hires + Reviewing compliance tool for unresolved issues + Completing OFAC/FinCen reviews… more
- 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 ... Some of the key responsibilities include: + The Senior Securities Operations Specialist will own the End to End...Center teams. + Actively monitor, timely updates and ensure compliance for the Workforce Management Policies and Procedures. +… more
- DA Davidson Companies (Charlotte, NC)
- …organizational changes. This position will assist the manager as the lead analyst , researching large projects, training team members, providing expert knowledge in ... Degree in Business or related field is preferred* Previous experience in a securities industry, front or back office, and working knowledge of the securities… more
- Bank of America (Charlotte, NC)
- AML Refresh Operations - Ops Sr Analyst MKTS (LATAM) Bilingual - Portuguese Charlotte, North Carolina **Job Description:** **ABOUT US:** At Bank of America, we are ... support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter… more
- Lincoln Financial Group (Florence, SC)
- …Role at a Glance** We are excited to bring on an Investment Accounting Analyst to support the Investment Accounting and Reporting Team at Lincoln Financial Group. ... Purpose of Job** As a regulatory GAAP and Statutory Investment Reporting Analyst , you will be responsible for providing timely and accurate investment reporting… more
- Wells Fargo (Charlotte, NC)
- Wells Fargo is seeking a Portfolio Management Analyst to join our Corporate Debt Finance team. The Corporate Debt Finance (CDF) team provides capital to asset ... reports and financial statements + Reviewing borrowing bases for compliance with loan covenants and reviewing quality / data...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Motion Recruitment Partners (Charlotte, NC)
- SQL Developer-Regrulatory Data Analyst Charlotte, NC **Hybrid** Contract $61.69/hr - $69.51/hr Outstanding long-term contract opportunity! A well-known Financial ... some or all the following areas (loans & leases, deposits, derivatives, securities , equity, capital etc.) + Knowledge and understanding of regulatory and financial… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …Banking. * Fundamental investment concepts, practices and procedures used in the securities industry. * Financial markets and products. **Skill in** * Communicating ... orientation. * Remain cognizant of our commitment to daily workflow and regulatory compliance during high volume activity. * Think independently in order to market… 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 Rail Services LLC, Manufacturers… more
- Wells Fargo (Charlotte, NC)
- …to bring new processes and products to market, while working with legal, risk, compliance , and control, to ensure business is ready for change in a controlled and ... banking and custom lending needs. These solutions can include: securities -based lending, treasury management, commercial real estate financing, life insurance… more
- ManpowerGroup (Charlotte, NC)
- …parameters while developing understanding of function, policies, procedures, and compliance requirements. Provide information to client personnel in Business ... with multiple business partners including Trading, Sales, Finance, Technology, Compliance , Auditors, MBS Allocations, Business Managers, Project Managers, and our… more
- US Bank (Charlotte, NC)
- …file for EIN's, and track residual holder transfers. As required, perform portfolio compliance tests on a selection of structured fixed income deals (trade testing). ... Skills/Experience - Basic understanding of syndicated bank loans, fixed income securities , securitization, trading or mutual funds - Ability to identify and… more
- Wells Fargo (Charlotte, NC)
- …Finance + Sustainable Finance and Advisory **WHAT THE PROGRAM OFFERS** The Analyst Program is non-rotational and provides the opportunity to gain experience working ... from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate… more
- Wells Fargo (Charlotte, NC)
- …institutions, and wealth management clients - ensuring efficient processing of securities transactions, cash transactions and loans. The team also manages the ... risk, regulatory compliance , and client service associated with these transactions. The...may result in an offer into the 2-year rotational analyst program. **Program Overview** The summer internship program is… more
- USAA (Charlotte, NC)
- …Member funds) as defined within the Enterprise Sensitive Positions Mandatory Time-Away Compliance Policy. Employees in Sensitive Positions are required to fulfill a ... identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** + Bachelor's degree; OR… more
- Bank of America (Charlotte, NC)
- …liquidity and earnings risks, including the market/price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... Risk group within Global Risk Management is looking for a risk analyst responsible for independent risk oversight the firm's investment activities. The Interest… more
- Bank of America (Charlotte, NC)
- …+ MBA in Finance/Accounting a plus + Experience analyzing fixed income securities , interest rate derivatives + Technical Business Analyst skills (SQL, ... + Attention to Detail + Business Acumen + Financial Analysis + Regulatory Compliance + Scenario Planning and Analysis + Adaptability + Benchmarking + Presentation… more
- Truist (Charlotte, NC)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, 66 (63 and 65 in lieu of 66)… more