- 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
- Lincoln Financial (Raleigh, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… 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 ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- Lincoln Financial (Raleigh, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- Bank of America (Charlotte, NC)
- …Control and Reporting Services Team within Business Controls is responsible for Broker Dealer Separation Oversight, Identify & Access Management Governance, ... Global Records Management, Medallion Stamps, Exposure Reporting, General Ledger Account Maintenance, and Annual Audit Support for Private Bank depository locations. + The Information Management Team Lead within the Process, Control and Reporting Services Team… more
- Wells Fargo (Charlotte, NC)
- …FINRA regulations + Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules + Relevant experience ... within a Compliance, AML/KYC or Operational risk team is preferred + Understanding of BSA/AML/OFAC laws and regulations + Experience compiling metrics, customer profiles and maintaining SLA's preferred + Working knowledge of Broadridge, Calypso, GMI, COBAM,… more
- TIAA (Charlotte, NC)
- …+ Experience in securities litigation, enforcement matters, investigations, ERISA, antitrust, broker - dealer , and/or insurance law a plus. + Strong verbal ... and written communication skills, interpersonal skills and organizational skills. + Advanced problem solving and prioritization skills. \#LI-CS1 Related Skills Accountability, Adaptability, Communication, Digital Savviness, Influence, Legal Collaboration /… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- City National Bank (Raleigh, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages ambiguity, works independently, exhibits innovative thinking with data analytics, robotic process… more