- 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
- Guardian Life (Augusta, ME)
- …want to be part of a collaborative Legal Compliance Team? As a Lead Compliance Analyst , Park Avenue Securities , and Park Avenue Investment Advisory, you ... 3110 and, in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk-based plan for the branch… more
- T. Rowe Price (Baltimore, MD)
- …you to explore the opportunity to join us and grow your career with us. Analyst , Middle Office - Venture Capital & Securities Lending Team Summary: The Middle ... Management. Role Summary: We are seeking a Middle Office Analyst to administer and process the books and records...Securities Lending (SL): + Perform daily review and compliance check of SL information provided by lending agents.… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Citigroup (Tampa, FL)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Citigroup (Getzville, NY)
- The Sec & Derivat Intmd Assoc Analyst is an entry level position responsible for processing orders and transactions originating from trading desks and branch offices ... to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Securities Sales Program Analyst for our Structured Products Sales team. The team is responsible for the ... judgment while developing the knowledge to understand function, policies, procedures, compliance , and risk management requirements for the Securities Sales… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role **Job Description:** At TD Securities , the Corporate and Leveraged Finance function is an integral part of the ... clients with capital markets and banking advice and transaction executions worldwide. TD Securities offers its US based employees the advantage of working in a… more
- PNC (Farmers Branch, TX)
- …Midland footprint of Kansas City, Dallas, or Birmingham. As a Loan Support Analyst within PNC's Commercial Mortgage Backed Securities (CMBS) Servicing team, you ... have an opportunity to contribute to the company's success. As a Loan Support Analyst within PNC's Midland organization, you will be based in office within the PNC… more
- Citigroup (Tampa, FL)
- We are seeking an Analyst within the Markets Operations Organization supporting our OTC Middle Office Clearing business. This is an intermediate level role ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more