34 securities transaction and compliance coordinator jobs found

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer dedication. As a Registered Client Service Associate, you will provide dedicated support to high producing advisor(s) by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and lead client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and build a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and...

Ameriprise Financial We are seeking a highly skilled and experienced attorney to join our Legal Department, specializing in trading documentation and U.S. financial regulation. This role will support the firm's trading activities across derivatives, securities lending, repurchase transactions and financing transactions, including ISDA Master Agreements, MSFTAs, futures, options, and related documentation. The ideal candidate will also provide legal guidance on compliance with applicable U.S. regulatory frameworks including Dodd-Frank, SEC, CFTC, and other relevant rules. The role is located in the US, however the team is global with colleagues in Europe and Asia. Key Responsibilities: Documentation & Negotiation Draft, negotiate, and review trading agreements including: ISDA Master Agreements and Credit Support Annexes (CSAs). Master Securities Forward Transaction Agreements (MSFTAs). Futures and options clearing agreements. Prime brokerage, repurchase...

Ameriprise Financial We are seeking a highly skilled and experienced attorney to join our Legal Department, specializing in trading documentation and U.S. financial regulation. This role will support the firm's trading activities across derivatives, securities lending, repurchase transactions and financing transactions, including ISDA Master Agreements, MSFTAs, futures, options, and related documentation. The ideal candidate will also provide legal guidance on compliance with applicable U.S. regulatory frameworks including Dodd-Frank, SEC, CFTC, and other relevant rules. The role is located in the US, however the team is global with colleagues in Europe and Asia. Key Responsibilities: Documentation & Negotiation Draft, negotiate, and review trading agreements including: ISDA Master Agreements and Credit Support Annexes (CSAs). Master Securities Forward Transaction Agreements (MSFTAs). Futures and options clearing agreements. Prime brokerage, repurchase...

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer dedication. As a Registered Client Service Associate, you will provide dedicated support to high producing advisor(s) by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and lead client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and build a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and...

Ameriprise Financial We are seeking a highly skilled and experienced attorney to join our Legal Department, specializing in trading documentation and U.S. financial regulation. This role will support the firm's trading activities across derivatives, securities lending, repurchase transactions and financing transactions, including ISDA Master Agreements, MSFTAs, futures, options, and related documentation. The ideal candidate will also provide legal guidance on compliance with applicable U.S. regulatory frameworks including Dodd-Frank, SEC, CFTC, and other relevant rules. The role is located in the US, however the team is global with colleagues in Europe and Asia. Key Responsibilities: Documentation & Negotiation Draft, negotiate, and review trading agreements including: ISDA Master Agreements and Credit Support Annexes (CSAs). Master Securities Forward Transaction Agreements (MSFTAs). Futures and options clearing agreements. Prime brokerage, repurchase...

Ameriprise Financial We are seeking a highly skilled and experienced attorney to join our Legal Department, specializing in trading documentation and U.S. financial regulation. This role will support the firm's trading activities across derivatives, securities lending, repurchase transactions and financing transactions, including ISDA Master Agreements, MSFTAs, futures, options, and related documentation. The ideal candidate will also provide legal guidance on compliance with applicable U.S. regulatory frameworks including Dodd-Frank, SEC, CFTC, and other relevant rules. The role is located in the US, however the team is global with colleagues in Europe and Asia. Key Responsibilities: Documentation & Negotiation Draft, negotiate, and review trading agreements including: ISDA Master Agreements and Credit Support Annexes (CSAs). Master Securities Forward Transaction Agreements (MSFTAs). Futures and options clearing agreements. Prime brokerage, repurchase...

Moody's At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are-with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways. Moody's is transforming how the world sees risk. As a global leader in ratings and integrated risk assessment, we're advancing AI to move from insight to action-enabling intelligence that not only understands complexity but responds to it. We decode risk to unlock opportunity, helping our clients navigate uncertainty with clarity, speed, and confidence. If you are excited about this opportunity but do not meet every single requirement, please apply! You still may be a great fit for this role or other open roles. We are seeking candidates who model our values: invest in every relationship, lead with curiosity, champion diverse perspectives, turn inputs into...

Fidelity Investments Job Description: Job Description: Our mission is to empower and protect Fidelity customers. As a Fraud Customer Response Specialist, you will be tasked with investigating suspicious activity to protect customer accounts and confidential information. In this role, addressing individual concerns requires a firm understanding of Fidelity customer-facing security and knowledge of resources (internal and external) available to clients allowing the Fraud Customer Response Team to balance the need for accurate risk management and outstanding customer service. The Fraud Customer Response Specialist will work closely with FIU, WI Participant Services, Compliance, Legal, and Risk Management. Professional Experience and History Bachelor's degree or equivalent experience Help desk, fraud prevention, supervisory, criminal justice, legal or financial investigative experience required. FINRA Series 7 and 63 required The Skills We Want To See An ability to...

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer dedication. As a Registered Client Service Associate, you will provide dedicated support to high producing advisor(s) by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and lead client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and build a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and...

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer dedication. As a Registered Client Service Associate, you will provide dedicated support to high producing advisor(s) by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and lead client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and build a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and...

Wellington Management About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role THE COMPANY Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 55 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent...

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer loyalty. As a Registered Client Service Associate, you will provide dedicated support to a high producing advisors by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and manage client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and create a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities Assist advisor in servicing clients including preparing financial plans, conducting investment research and completing...

Bunge City : Chesterfield State : Missouri (US-MO) Country : United States (US) Requisition Number : 43233 A Day In The Life: The Securities & Corporate Governance Paralegal will support the company's Legal Department in managing corporate governance matters, securities compliance, and public company reporting obligations. This role plays a key part in ensuring the organization meets all regulatory requirements while supporting strategic business operations across a global agricultural enterprise. What You'll Be Doing: Securities Compliance & Reporting * Assist with the preparation, review, and filing of US SEC reports and disclosures, including Forms 10-K, 10-Q, 8-K, Section 16 filings and annual proxy statements. * Assist with the preparation, review, and filing of mandatory and voluntary non-financial reports and disclosures, and required and voluntary sustainability-related reports. * Maintain and update the company's insider...

Wellington Management About Us Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long-term view that aligns our perspectives with those of our clients. About the Role THE COMPANY Tracing our roots to 1928, Wellington Management Company, LLP is one of the world's largest independent investment management firms. With over US$1 trillion in assets under management as of 30 June 2025, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are built on the strength of...

Ameriprise Financial Do you have financial planning experience and want to advance your career with an industry-leading firm? Ameriprise Financial is America's leader in financial planning and ranked #1 in customer dedication. As a Registered Client Service Associate, you will provide dedicated support to high producing advisor(s) by preparing portfolio materials for client meetings, leverage your analytical skills to build financial plans, and lead client interactions to retain and develop deeper relationships. At Ameriprise Financial, we take pride in providing our clients with a personalized experience every step of the way; if you thrive in an environment where you can help others and build a positive impact on a client's overall experience, we invite you to take your career to the next level by applying to join our team today! Key Responsibilities: Assist advisor(s) in servicing clients including preparing financial plans, conducting investment research and...

Five9 Join us in bringing joy to customer experience. Five9 is a leading provider of cloud contact center software, bringing the power of cloud innovation to customers worldwide. Living our values everyday results in our team-first culture and enables us to innovate, grow, and thrive while enjoying the journey together. We celebrate diversity and foster an inclusive environment, empowering our employees to be their authentic selves. We are looking for an experienced, collaborative paralegal to join Five9's growing legal and compliance team. You will be responsible for managing a wide variety of public company and corporate governance matters, including maintaining corporate records and policies, managing Five9's sustainability and governance program, and supporting team initiatives and other special projects. The ideal candidate will enjoy multitasking and working in a fast-paced environment, be comfortable working on competing priorities, and be willing to learn new...

Five9 Join us in bringing joy to customer experience. Five9 is a leading provider of cloud contact center software, bringing the power of cloud innovation to customers worldwide. Living our values everyday results in our team-first culture and enables us to innovate, grow, and thrive while enjoying the journey together. We celebrate diversity and foster an inclusive environment, empowering our employees to be their authentic selves. We are looking for an experienced, collaborative paralegal to join Five9's growing legal and compliance team. You will be responsible for managing a wide variety of public company and corporate governance matters, including maintaining corporate records and policies, managing Five9's sustainability and governance program, and supporting team initiatives and other special projects. The ideal candidate will enjoy multitasking and working in a fast-paced environment, be comfortable working on competing priorities, and be willing to learn new...

Five9 Join us in bringing joy to customer experience. Five9 is a leading provider of cloud contact center software, bringing the power of cloud innovation to customers worldwide. Living our values everyday results in our team-first culture and enables us to innovate, grow, and thrive while enjoying the journey together. We celebrate diversity and foster an inclusive environment, empowering our employees to be their authentic selves. We are looking for an experienced, collaborative paralegal to join Five9's growing legal and compliance team. You will be responsible for managing a wide variety of public company and corporate governance matters, including maintaining corporate records and policies, managing Five9's sustainability and governance program, and supporting team initiatives and other special projects. The ideal candidate will enjoy multitasking and working in a fast-paced environment, be comfortable working on competing priorities, and be willing to learn new...

Five9 Join us in bringing joy to customer experience. Five9 is a leading provider of cloud contact center software, bringing the power of cloud innovation to customers worldwide. Living our values everyday results in our team-first culture and enables us to innovate, grow, and thrive while enjoying the journey together. We celebrate diversity and foster an inclusive environment, empowering our employees to be their authentic selves. We are looking for an experienced, collaborative paralegal to join Five9's growing legal and compliance team. You will be responsible for managing a wide variety of public company and corporate governance matters, including maintaining corporate records and policies, managing Five9's sustainability and governance program, and supporting team initiatives and other special projects. The ideal candidate will enjoy multitasking and working in a fast-paced environment, be comfortable working on competing priorities, and be willing to learn new...