- TD Bank (Charlotte, NC)
- …business writing abilities.** + **Experience responding to client complaints within a bank or broker -dealer.** + **Experience reviewing and providing guidance on ... advertising and marketing materials for a broker -dealer/ bank .** + **Prior testing, audit or business operations experience in areas involving regulatory… more
- Sumitomo Pharma (Raleigh, NC)
- …Insurance. The Director will manage global cash operational activities & forecasting. Manage bank and broker relationships. This role is responsible for a team ... trials, management liability, umbrella, and specialty lines. + Manage Banker & Broker relationships. + Oversee & manage cash pooling across SMPA group entities… more
- Citigroup (Charlotte, NC)
- …Liquidity position and funding flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. Focus would be in fulfilling ... + Balance Sheet management /Optimization, including familiarity with banking and/or broker dealer product sets + Multi-disciplinary Project Management including a… more
- Huntington National Bank (Charlotte, NC)
- …Segment Controller, this position will play a vital role in the broker -dealer's day-to-day accounting operations. The role will be responsible for preparing journal ... entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will also provide a high level… more
- SMBC (Charlotte, NC)
- …relevant experience within the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer, swap dealer) with focus on: documenting ... of data. This role will support both SMBC Nikko Securities America, Inc. ( Broker -Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). Role is located in Charlotte,… more
- PNC (Raleigh, NC)
- …team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer. This position is primarily based in a PNC location. Preferred ... individuals who are passionate about mitigating risk, problem solving, and protecting the bank and also can contribute in the following ways: * Provide an… more
- US Bank (Charlotte, NC)
- At US Bank , we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate finance, in… more
- TD Bank (Charlotte, NC)
- …Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank US Compliance, we're on a mission to build a more resilient and ... start-up-like setting as we build a new compliance structure that aligns with the bank 's size, complexity, and risk profile. In this role, you'll need to be… more
- TD Bank (Charlotte, NC)
- …Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank US Compliance, we're on a mission to build a more resilient and ... start-up-like setting as we build a new compliance structure that aligns with the bank 's size, complexity, and risk profile. In this role, you'll need to be… more
- US Bank (Charlotte, NC)
- At US Bank , we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...experience within the securities industry specifically in a retail broker dealer environment + Series 24 General Securities Principal… more