- Coinbase (Charlotte, NC)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Equitable (Charlotte, NC)
- …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations, maintaining compliance with regulatory standards, and ... Broker Dealer Outsourcing and Oversight Analyst... Broker Dealer Outsourcing and Oversight Analyst (HYBRID or REMOTE)... operations while playing a key role in ensuring compliance and operational excellence. If you are passionate about… more
- TD Bank (Charlotte, NC)
- …people manager, leading a compliance audit team + Experience auditing securities, broker - dealer and/or wealth compliance + Excellent oral and written ... regulations governing the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance + Advanced functional… more
- Wells Fargo (Charlotte, NC)
- …desks at a global investment bank. + Familiarity with FINRA rules and broker - dealer compliance . + Excellent drafting, negotiation, communication and ... leadership, including executive officers, on issues that may present legal, regulatory, compliance , or reputational risk to the Company. + Partner with business… more
- TD Bank (Charlotte, NC)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- Wells Fargo (Charlotte, NC)
- …hands-on product management + Collaborate with internal teams including broker / dealer , Private Bank, consulting, marketing, legal, compliance , and operations ... of marketing collateral, term sheets, and product pages, while ensuring compliance with regulatory standards. + Manage product-specific collateral for both open… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and ... In this role, you will oversee compliance inspections and support the development, implementation, and...in financial services, with at least 2 years in broker - dealer or banking-like operations. + Proven experience… more
- US Bank (Charlotte, NC)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… more
- TD Bank (Charlotte, NC)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience working with ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- Truist (Charlotte, NC)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** Following is… more
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