• Senior Compliance Specialist - Financial Services…

    Vanguard (Charlotte, NC)
    …a seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits, ... of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and… more
    Vanguard (08/13/25)
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  • Audit Lead - Compliance C&IB/Treasury Management/…

    PNC (Raleigh, NC)
    …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... in a PNC location. Preferred locations are listed in this requisition. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager's discretion. Are you interested in an… more
    PNC (07/02/25)
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  • Broker - Dealer Accounting Group…

    Huntington National Bank (Charlotte, NC)
    …Business 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 entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will also… more
    Huntington National Bank (07/04/25)
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  • Financial Advisor

    Atria Wealth Solutions (King, NC)
    …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track record of serving the investment… more
    Atria Wealth Solutions (05/24/25)
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  • Senior Lead Compliance Officer - Structured…

    Wells Fargo (Charlotte, NC)
    …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance. **In this role, you will:** ... + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with traditional lending regulations (Reg B,… more
    Wells Fargo (08/19/25)
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  • RNDIP Compliance and Oversight Consultant

    SolomonEdwards (Raleigh, NC)
    …Consultant to join a leading national financial services organization with significant broker / dealer operations. This hands-on role will lead the design and ... ensuring full alignment with OCC regulatory requirements. * Partner with the Broker / Dealer oversight function and internal teams to ensure the first line of… more
    SolomonEdwards (08/15/25)
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  • New Business Consultant

    Principal Financial Group (Raleigh, NC)
    …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial professionals,… more
    Principal Financial Group (08/13/25)
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  • Data Governance

    SMBC (Charlotte, NC)
    …within the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data ... of data. This role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap Dealer ). Role is located… more
    SMBC (07/11/25)
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  • Balance Sheet Management Senior Lead Analyst - SVP

    Citigroup (Charlotte, NC)
    …and funding flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. Focus would be in fulfilling the Resolution ... + Balance Sheet management /Optimization, including familiarity with banking and/or broker dealer product sets + Multi-disciplinary Project Management including… more
    Citigroup (08/21/25)
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  • Lead Compliance Officer - Corporate and Investment…

    Wells Fargo (Charlotte, NC)
    … Dealers, and associated regulators (eg, investment banking, financial markets, Broker - Dealer , Swap Dealer , Futures Commission Merchant, asset-backed ... finance, and securitization) + 2+ years of experience in or with the Front Line in defining and executing supervisor responsibilities + Experience with change management, for example implementing a new regulation, policy, framework + 2+ years of experience… more
    Wells Fargo (08/15/25)
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