- Wells Fargo (Salt Lake City, UT)
- **About this role:** Wells Fargo is seeking a Lead Securities Operations Specialist within WIM Operations Account & Data Management. **In this role, ... large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations + Review and analyze complex multi-faceted,… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** At TD Securities , the Investment Banking Credit function is an integral part of the full ... markets and banking advice and transaction executions worldwide. TD Securities offers its US based employees the advantage of...a major global investment dealer. Confidence in our US operations systems stems from the recognition of our in-depth… more
- KeyBank (Brooklyn, OH)
- …Hybrid opportunity requiring minimally 2 days in office **Job Summary** The Pricing Operations Lead Specialist is responsible for supporting pricing ... on our accounting system, Global Plus. Timely and accurate pricing ensures securities are valued correctly on customer statements, valued correctly for client fees… more
- TD Bank (New York, NY)
- …with Microsoft Word, Excel and PowerPoint. The Financial Crime Risk Oversight Specialist acts as key business oversight lead and provides expert/specialized ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD … more
- TD Bank (White Plains, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... firm requirements + Acts as the regulatory change management lead , assessing and implementing required changes to processes, systems,...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Tri-State Generation and Transmission Association, Inc. (Westminster, CO)
- …with United States (US) Generally Accepted Accounting Principles (GAAP), the Securities and Exchange Commission (SEC), and the Federal Electric Regulatory Commission ... (EAP) and Paid Leave Benefits. **SEC Financial Research and Reporting Specialist ** Hiring Salary Range: $109,000-$139,000 Actual compensation offer to candidate may… more
- Wells Fargo (Charlotte, NC)
- …this role:** Wells Fargo is seeking a Senior Capital Markets Middle Office Specialist for the Syndicate/Money Market/Brokered CD Middle Office Group as part of ... Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and...business at wellsfargojobs.com. The Senior Capital Markets Middle Office Specialist will be responsible for monitoring daily trading activity,… more
- MUFG (Jersey City, NJ)
- …more details. **Overview** We are seeking a highly skilled and motivated Payments Support Specialist to join our IT team. Based in Jersey City, NJ or New York ... NY, the individual in this role will be responsible for ensuring smooth operations and providing comprehensive technical support for payment systems. As a key member… more
- MUFG (Jersey City, NJ)
- …on researching potential cybersecurity threats to various systems, technologies, operations , and programs throughout multiple environments. You will perform analysis ... and procedures + Strong time management skills to balance multiple activities and lead junior analysts as needed + Understanding of offensive security to include… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …requirements gathering and testing. + Represent department on projects and lead cross-functional initiatives. + Ensure compliance with organizational policies and ... and knowledge of industry best practices. **Knowledge of:** + Operations and New Accounts systems. + Advanced customer ...+ Investment concepts, practices and procedures used in the securities industry and as required by New Accounts. **Preferred… more
- MUFG (Irving, TX)
- …and financial crimes risk for escalation and mitigation. **Major Responsibilities:** + Lead the creation and production of reports for senior leadership to inform ... with Financial Crimes + Build strong partnerships with Legal, Internal Audit, Operations Risk, Regulatory Affairs Office and other key stakeholders in connection… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** Preferred Qualifications: TD Securities ' Municipal Syndicate Operations Desk offers a unique opportunity ... States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $95,000 - $115,000 USD TD is...questions, finds alternative solutions and identifies clear objectives The Operations Analyst/ Specialist I TDS provides back up… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Securities Operations Specialist /Client Reporting Analyst to join our Client Reporting team. This role is ... complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations + Review and analyze basic or tactical… more
- TD Bank (Charlotte, NC)
- …team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about ... collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program… more
- TD Bank (New York, NY)
- …etc. + Knowledge of non-wire payment methods like drafts and checks. The Operations Analyst/ Specialist II TDS coordinates and executes projects primarily focused ... improvement of Operations and/or the attainment of organizational objectives. The Operations Analyst/ Specialist II TDS assists Operations management in… more
- City National Bank (New York, NY)
- …for profitable growth of the portfolio. May serve as a segment or industry specialist acting as a technical consultant to clients and colleagues in various business ... deposit, and all other appropriate services. * Utilize, include, coordinate and lead CNB team to develop new business including leading pre-brief and de-brief… more
- Capital One (Charlotte, NC)
- …the Audit team, the candidate will focus on operations of investment ( securities and transactions). Responsibilities: + Lead small audits, or own completion ... You're a teacher. You do the right thing and lead by example. You have a passion for coaching...Certified Regulatory Compliance Manager (CRCM), or Certified Anti-Money Laundering Specialist (CAMS) At this time, Capital One will not… more
- Wellington (Boston, MA)
- …channel and related strategic initiatives. The successful candidate will join a specialist legal team that collaborates closely with our business and Compliance ... regulatory examinations + Collaborating with Compliance, Client teams, and Operations to ensure legal and regulatory risk is appropriately...1940, the Investment Advisers Act of 1940, and the Securities Exchange Act of 1934 + Experience with legal… more
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