- JPMorgan Chase (Pittsboro, NC)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... opportunity employer and place a high value on diversity and inclusion at our company . We do not discriminate on the basis of any protected attribute, including… more
- HUB International (Greensboro, NC)
- …Limited ("HUB") is one of the largest global insurance and employee benefits broker , providing a broad array of property, casualty, risk management, life and health, ... insurance options + Health Savings Account funding + 401k matching program + Company paid Life and Short-Term Disability Plans + Supplemental Life and Long-Term… more
- Wells Fargo (Charlotte, NC)
- …the Trade Processing lifecycle + Wealth Management Operations experience + Broker /Dealer Operations experience **Job Expectations:** + This position offers a hybrid ... establishes those disciplines as critical to the success of our customers and company . They are accountable for execution of all applicable risk programs (Credit,… more
- Wells Fargo (Charlotte, NC)
- …pre-clearing outside activities, transferring brokerage accounts to a designated broker , trade pre-clearance, minimum holding period, monitoring of trading activity, ... establishes those disciplines as critical to the success of our customers and company . They are accountable for execution of all applicable risk programs (Credit,… more
- Equitable (Charlotte, NC)
- …retirement related markets. + Possessing a general understanding of overall Broker /Dealer investment and insurance products. + Performing due diligence reviews of ... are needed for making sound decisions in the context of the company 's business; ability to apply this knowledge appropriately to diverse situations.… more
- Wells Fargo (Charlotte, NC)
- …Exposure to bank financial reporting requirements, such as familiarity with broker dealer and regulatory reporting requirements and processes + Foundational ... establishes those disciplines as critical to the success of our customers and company . They are accountable for execution of all applicable risk programs (Credit,… more
- TD Bank (Charlotte, NC)
- …and product performance to determine how the product impacts the Company operations including product life cycle, quality, technical support, marketing programs ... 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… more
- Wells Fargo (Charlotte, NC)
- …order routing, RFQ, RFS, Quotations, and Trades from multiple trading venues and broker -dealers + 5+ years of Experience working with line of business partners, Line ... establishes those disciplines as critical to the success of our customers and company . They are accountable for execution of all applicable risk programs (Credit,… more
- Wells Fargo (Charlotte, NC)
- …+ Maintain strong partnerships with Wells Fargo's internal partners such as the broker / dealer (Wells Fargo Advisors), Wells Fargo Private Bank and other internal ... establishes those disciplines as critical to the success of our customers and company . They are accountable for execution of all applicable risk programs (Credit,… more
- Sedgwick (Raleigh, NC)
- …+ Communicates claim action/processing with insured, client, and agent or broker when appropriate. **ADDITIONAL FUNCTIONS and RESPONSIBILITIES** + Performs other ... partner, which helps clients thrive by navigating the unexpected. The company 's expertise, combined with the most advanced AI-enabled technology available, sets… more