- 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
- Guardian Life (Raleigh, NC)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Wells Fargo (Charlotte, NC)
- …financial services industry experience + Experience in branch office supervision, compliance , broker - dealer governance, sales supervision **Job ... the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands… more
- Equitable (Charlotte, NC)
- …SEC and FINRA a compliance programs related to its investment advisory and broker / dealer operations. Reporting to the CCO are the Firm's 3120 audit teams, ... Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary Location** :...of the firm's growth strategy. Equitable Advisors is a broker / dealer and registered investment advisor that serves… more
- 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. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- TD Bank (Charlotte, NC)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... 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
- Wells Fargo (Charlotte, NC)
- …training, military experience, education **Desired Qualifications:** + Knowledge of institutional broker / dealer trading practices across a vast array of products ... statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing… 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
- Kestra Financial (Raleigh, NC)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Manulife (NC)
- …years of internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is ... but not limited to: Brokerage General Agents, banks, wirehouses, broker -dealers, and the JHI team. + Identify and prioritize...team. + Territory adherence to JHI's Market Conduct and Compliance policies and procedures. + Communicate the Code of… more