- 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 (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
- Ally (Raleigh, NC)
- …current knowledge and awareness of investigative fraud techniques, privacy laws, broker - dealer regulations, and investigation handling policy and procedures. * ... Reviews daily reports/fraud investigation cases to confirm accuracy, regulatory guidelines are met, escalate to management all findings * Recommend policy/procedure changes as needed * Completion of reports to management as required * Maintain a thorough… 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 (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
- TIAA (Charlotte, NC)
- …Health/Life licensing in all 50 states. This role falls under the scope of the Broker - Dealer . All licenses must be obtained within 120 days from start date. ... **Key Responsibilities and Duties** + Take inbound calls from both internal partners and clients to help identify product and investment needs. + Determine where client has a need and create or manage associated opportunity to a won or lost sale. + Provide… more
- Cognizant (Charlotte, NC)
- …in a client-facing role and/or the financial services industry, preferably within a broker - dealer , RIA, investment or financial services firm . Experience with ... Agile frameworks such as SAFe, LeSS, or Kanban in enterprise environments . Excellent communication skills, both written and oral, with the ability to create and deliver executive-level presentations while serving as a recognized subject matter expert on the… 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). Additionally, the position is responsible for maintaining and executing continuous monitoring program in accordance with audit methodology and taking into… more
- US Bank (Charlotte, NC)
- …more of relevant experience within the securities industry specifically in a retail broker dealer environment + Series 24 General Securities Principal license or ... the ability to obtain + Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business + Advanced understanding of the business line's operations, products/services, systems, and… more
- Wells Fargo (Charlotte, NC)
- …industry experience + Experience in branch office supervision, compliance, broker - dealer governance, sales supervision + Experience supporting independent ... Advisors and their practices. **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In… more