- Bank of America (Charlotte, NC)
- …age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/Senior-Audit-Manager\_25029905) **Job Description:** At Bank of America, we are guided ... we make an impact in the communities we serve. Bank of America is committed to an in-office culture...US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) +… more
- City National Bank (Raleigh, NC)
- …team of auditors to assess risks and internal control environment of the bank 's Wealth Management businesses. This individual will develop and execute detailed audit ... to evaluate the adequacy of the operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities,… more
- TD Bank (Charlotte, NC)
- …Wealth Senior Leadership Team, Federated Partners (Compliance, Legal), and AMCB Consumer Bank teams to ensure that all regulatory, compliance, audit, and self-ID ... **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements...leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we… more
- City National Bank (Raleigh, NC)
- …and/or written reports and memorandums. The position will support City National Bank 's Internal Audit in providing independent, objective assurance over the design ... and operating effectiveness of the Bank 's risk management practices, governance processes, system of internal controls for the Wealth Management platform: Personal… more
- TD Bank (Charlotte, NC)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations such as ... Acts as a brand ambassador for your business area/function and the bank , both internally and/or externally **Physical Requirements:** Never: 0%; Occasional: 1-33%;… more
- TD Bank (Charlotte, NC)
- …and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. ... leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we...colleagues bring their skills, talent, and creativity to the Bank , those we serve, and the economies we support.… more
- TD Bank (Charlotte, NC)
- …multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we...colleagues bring their skills, talent, and creativity to the Bank , those we serve, and the economies we support.… more
- TD Bank (Charlotte, NC)
- …and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. ... leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we...colleagues bring their skills, talent, and creativity to the Bank , those we serve, and the economies we support.… more
- Navy Federal Credit Union (Matthews, NC)
- …relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify ... + Ability to obtain appointment by the sponsoring insurance company, broker -dealer and/or Registered Investment Advisory Firm + Experience in business development… more
- Lincoln Financial (Greensboro, NC)
- …solutions to their clients. This is a consultative phone-based position responding to broker inquiries received via inbound calls. You will answer questions in a ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more