- CBRE (Raleigh, NC)
- …of products, including land, office, retail and industrial. + Coordinate field broker selection and required resources. Facilitate client review and approval of ... initiation, requests for proposals, proposal comparison packages, letters of intent, and broker 's opinions of value. + Coordinate the negotiation of sales through a… more
- Truist (Charlotte, NC)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. ... supervisory functions that are routinely associated with those of a retail broker /dealer. **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the… more
- Lincoln Financial (Greensboro, NC)
- …servicing agreements and distribution-related contracts, including those with broker -dealers, retirement plan administrators and other intermediaries. * Drafting, ... and procedures and provides other legal support on fund and adviser compliance matters. * Providing legal advice regarding strategic initiatives of Funds Management… more
- TD Bank (Charlotte, NC)
- …Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- Amentum (Raleigh, NC)
- …to business units and senior leadership on risk-related matters and ensures compliance with regulatory and contractual risk transfer requirements. + Develop and ... casualty, cyber, D&O, aerospace, marine, professional, etc.), including annual renewals, broker engagement, and carrier relationships. + Analyze risk exposure and… more
- Kestra Financial (Raleigh, NC)
- …timely and accurate manner while ensuring documentation and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new ... account establishment, account maintenance, and compliance + Process, submit, and service all account paperwork/requests; follow through to completion utilizing… more
- Cushman & Wakefield (Charlotte, NC)
- …Assist in measuring transactional performance * Ensure that all client and broker engagement documentation is executed Transaction Management: * Coordinate field ... broker selection process * Assist with determining client needs...Discrimination of any type will not be tolerated. In compliance with the Americans with Disabilities Act Amendments Act… more
- Citigroup (Charlotte, NC)
- …and funding flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. Focus would be in fulfilling the Resolution and ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Zurich NA (Charlotte, NC)
- …and 10 or more years of experience in the Underwriting, Market Facing, Broker , Carrier or Risk Management area within the Commercial Insurance industryOR + Bachelors ... lines, the commercial insurance and Energy industry + Strong Broker relationships + Results oriented + Portfolio management, risk...location, role, skill set, and level of experience. In compliance with local laws, Zurich commits to providing a… more
- Navy Federal Credit Union (Matthews, NC)
- …an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain, ... relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify… more