- Carrington (Raleigh, NC)
- …documentation related to Borrower and property. + Ensures the quality and compliance of work with Company policies, procedures, and investor guidelines. + Ensures ... as required to resolve outstanding issues. + Informs Account Executive, Broker , and/or borrower about discrepancies in title, appraisals, credit, employment, income… more
- Perdue Farms, Inc. (Charlotte, NC)
- …training programs for internal and external stakeholders on products, services, and compliance . + Conduct market research to identify trends impacting broker ... sales agency and distribution strategies. + Collaborate with compliance teams to mitigate risks and resolve discrepancies. + Present data-driven insights to support… more
- Bank of America (Charlotte, NC)
- …of Liquidity Risk & LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and notify or escalate limit breaches ... goals. Influencing and negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and Banking) risk colleagues +… more
- Bank of America (Charlotte, NC)
- …independent and objective assurance to improve the organization's operations and compliance with key regulations by evaluating the effectiveness of risk management, ... expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in performing… more
- Lincoln Financial (Charlotte, NC)
- …(eg, CloudFormation), and application design to ensure alignment with business and compliance requirements. + Mentor and support team members, fostering a culture of ... of cloud security principles, IAM policies, encryption (KMS), and compliance best practices for AWS environments. + Excellent analytical, troubleshooting,… more
- Broadridge Financial Solutions (Raleigh, NC)
- …designs (APIs, SSO, data feeds), ensuring performance, observability, security, and compliance . + Establish and run program governance: plans, milestones, KPIs, ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Lincoln Financial (Greensboro, NC)
- …sell and penetrate assigned firms/institutions. + Adhere to LFDs Culture of Compliance . Comply with LFDs policies and procedures **What we're looking for** ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Charlotte, NC)
- …filings to ensure they are filed timely and accurately. . Assures fund administration compliance with the Investment Company Act of 1940 as well as the Securities ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Equitable (Charlotte, NC)
- …retirement related markets. + Possessing a general understanding of overall Broker /Dealer investment and insurance products. + Performing due diligence reviews of ... retirement plan products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and retirement plan… more
- TD Bank (Charlotte, NC)
- …in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + Undergraduate degree ... 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