- Vanguard (Charlotte, NC)
- We are seeking a seasoned compliance professional to lead monitoring and testing for our broker -dealer's Cash program, which includes banking-like features such ... CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing frameworks, conduct regulatory due diligence, and validate control effectiveness… more
- PNC (Raleigh, NC)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... Dealer & Broker Dealer. This position is primarily based in a...to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of… more
- ADP (Charlotte, NC)
- ADP is hiring a ** Broker Channel Sales Representative** . + Does the idea of hunting for new business alongside broker partners entice you? + Do you thrive on ... referrals from, and win new business exclusively through our broker channel and client referrals as part of our...conducting business with the highest ethical standards and full compliance with all applicable laws. We also expect our… more
- CBRE (Raleigh, NC)
- CBRE Broker Program (2025) Job ID 215557 Posted 10-Apr-2025 Role type Full-time Areas of Interest Sales/Brokerage Location(s) Remote - US - Remote - US - United ... of interest in any posted position at CBRE. **Associate Broker ** About the Role As a CBRE SP -...and financial models + Manage transaction documentation, contracts, and compliance + Partner with legal teams to facilitate negotiations… 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 ... activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… more
- Wells Fargo (Charlotte, NC)
- …The role is part of the broader Corporate and Investment Banking (CIB) Compliance team and requires deep expertise in broker -dealer regulations and lending ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG)...in FINRA, SEC, FRB, and OCC regulations related to broker -dealer and ABS activities. + Familiarity with traditional lending… more
- Anywhere Real Estate (Charlotte, NC)
- …Collaborate with internal partners on legal agreements, royalty reporting, and compliance requirements. Support the drafting of legal documents and manage document ... execution process. **Minimum Qualifications:** + **Experience:** Proven experience leading corporate strategy, programs, or processes at the brand or enterprise level, preferably within a multi-unit or franchise organization. + Demonstrated ability to design… more
- Guardian Life (Raleigh, NC)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance … more
- Equitable (Charlotte, NC)
- …**Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations, compliance or audit with a focus ... enhanced due diligence procedures. + Manage the Sanctions Program to ensure compliance with the US Treasury Department's Office of Foreign Asset Control (OFAC)… more
- Equitable (Charlotte, NC)
- …+ FINRA Series 6 or 7 and 26 or 24 + 7 years of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...your potential? Reporting directly to the Equitable Financial Chief Compliance Officer, the role is responsible for maintaining, developing… more