- Deloitte (Raleigh, NC)
- …eligible: + Licensed Attorney + Enrolled Agent + Certifications: + US Customhouse Broker 's License + CUSECO (Certified US Export Control Officer) + Where applicable, ... non-US citizen qualifying credentials: + Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer) + Professional Accreditation in EU Customs Law (post masters) + Technology Certifications: + CBAP - Certified Business… more
- PNC (NC)
- …Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred ... for this role and/or public finance compliance experience. * 5+ years of industry experience In addition to the job description below, the Compliance Program Advisor will also be responsible for the following: - Coordinating regulatory compliance efforts for… more
- TD Bank (Charlotte, NC)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management businesses + Excellent written, verbal and ... analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence… more
- Lincoln Financial (Raleigh, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- Deloitte (Charlotte, NC)
- …from every sector of the industry, including investment managers, broker -dealers, banks, insurance companies, mutual funds, investment partnerships, hedge funds, ... private equity, alternative products, and other money managers. Qualifications Required: + Ability to perform job responsibilities within a hybrid work model that requires US Tax professionals to co-locate in person 2 - 3 days per week + 3+ years experience… 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. ... May (or may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_… more
- Truist (Charlotte, NC)
- …as well as industry and bank issues, to effectively match them. 3. Broker and direct the design, engineering, implementation, and support of application software ... solutions in support of corporate objectives, to include determining whether to use internal or external labor, build or buy, leverage Cloud as appropriate, and using a variety of tools, etc. 4. End to end accountability to identify and design solutions that… more
- Lincoln Financial (Raleigh, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more