- Bank of America (Charlotte, NC)
- …an impact. Join us! **Job Description:** This job is responsible for reviewing of Broker Dealer (B/D) Regulatory Reporting returns for US regulated B/D entities. ... City, NJ** **Required Qualifications:** + Minimum 5 years of experience in Broker Dealer Regulatory Reporting + Bachelor's degree or related work experience +… more
- TD Bank (Charlotte, NC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May… more
- TD Bank (Charlotte, NC)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas involving regulatory compliance.** + **Detail… more
- US Bank (Charlotte, NC)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade groups… more
- Bank of America (Charlotte, NC)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... + Knowledge of key vendor / platforms across the industry eg, DTCC, Euroclear, LSEG, BNY Mellon + Understanding of relevant industry regulatory frameworks eg, Dodd-Frank, EMIR. + Existing network / contacts across the industry **Skills:** + Client & Vendor… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... solutions to their clients. This is a consultative phone-based position responding to broker inquiries received via inbound calls. You will answer questions in a… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... shareholder servicing agreements and distribution-related contracts, including those with broker -dealers, retirement plan administrators and other intermediaries. * Drafting,… more
- Navy Federal Credit Union (Matthews, NC)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify… more
- Atria Wealth Solutions (Raleigh, NC)
- …about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year track record of serving the ... needs of credit unions and their members. We're ranked as one of the top broker -dealers in the industry and we work with some of the top financial institutions in… more