- Mastercard (Harrison, NY)
- …innovation and delivers better business results. **Title and Summary** Senior Specialist , Governance and Securities Overview: The Corporate Law Team ... the company and the Board of Directors on corporate governance and securities matters (including advising on...Assisting with senior attorneys and paralegals with governance and securities matters as needed *… 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 ... 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
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Trade Support Team within Wealth and Investment ... from the entry of the order to the settlement of the customer activity. The Senior Specialist will be driving segments and performance of key business functions… 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
- Federal Reserve Bank (San Francisco, CA)
- …examinations, common team horizontal examinations, and supervisory issues follow-up. The ** Senior Risk Specialist ** position is an excellent opportunity to ... A core component of the LISCC Program is the Governance and Controls (G&C) Program which consists of three...and in-line with the applicant's areas of expertise. The Senior Risk Specialist will work closely with… more
- Federal Reserve Bank (San Francisco, CA)
- …are members of the LISCC program. Right now, the RST has a fantastic opportunity for **a Senior IT Risk Specialist ** to join its LISCC IT Team and be a member of ... A core component of the LISCC program is the Governance and Controls (G&C) program. The Independent Risk Management...measured, monitored, and controlled at each firm. The Risk Specialist Team (RST) within S+C's Risk, Policy and Analysis… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Institutional Investment Operations Specialist (DTC Team Lead) as part of Corporate and Investment Banking ... and various internal and external clients/business partners (Middle Office/Sales, Securities Finance, Compliance, Repo/Funding Desk, counterparty back offices, vendor… 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
- Morgan Stanley (Tampa, FL)
- …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
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Compliance Specialist in Corporate Risk as part of Corporate and Investment Banking (CIB) Business Aligned ... more about the career areas and lines of business at wellsfargojobs.com. This Senior Compliance Specialist will oversee and credibly challenge the reporting,… more
- Wells Fargo (New York, NY)
- …It all begins with you. **About this role:** Wells Fargo is seeking a Senior Lead Institutional Investment Operations Specialist within our Tax Operations team ... + Understanding of asset servicing events including across equities and fixed income securities + Familiarity with options and swaps + Working knowledge of one or… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a ** Senior Institutional Investment Operations Specialist ** for the **Foreign Exchange (FX) Operations** team within ... sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… 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 ... news processes for Morgan Stanley. *Primary Responsibilities:* The Financial Crimes Governance Support AVP will be responsible for managing the firm's issues… more
- Charles Schwab (Southlake, TX)
- …tools to screen and review the firm's clients, along with their transactions and securities . The team is also responsible for the management and oversight of these ... tools, including access, tuning, and data governance . With firm-wide responsibility for sanctions compliance, the Global Sanctions team serves as the firm's focal… more
- PNC (Pittsburgh, PA)
- …the company's success. We are looking to hire a Compliance Program Specialist Senior within PNC's Independent Risk Management's Compliance organization ... Wealth Management industry or working with Fiduciary accounts. *Expertise in securities movement and control, including security set up, pricing, settlement,… 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
- Wells Fargo (Charlotte, NC)
- …and managers to resolve issues and achieve goals + Lead projects and assist senior managers with industry related initiatives + Serve as a mentor for less ... Knowledge and understanding of financial products: exposure to fixed income securities , derivatives, and foreign exchange. **Job Expectations:** + Hybrid schedule… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Institutional Investment Operations Specialist within the Wells Fargo Securities (WFS) Customer Due Diligence ... onboarding, cash payments, customer service, funding or custodial operations, securities settlement services, structure loan operations, reconciliation as well as… more
- TD Bank (New York, NY)
- …must be pre-approved before being executed and in accordance with the TD Securities Change Management Governance Framework and the Global Markets Initiative ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $125,000 - $200,000 USD TD is...Equities Electronic team is looking for a Market Structure Specialist at the Associate/VP level. The Associate TDS Sales… more