- Equitable (Charlotte, NC)
- … compliance reviewer role, preferably with an insurance company affiliated broker / dealer , working with retail field commission- and fee-based producers, as ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** :...of inclusivity, flexibility, and connection. Come join the Advertising Compliance team and enjoy working for a leading financial… more
- Truist (Charlotte, NC)
- …with all levels of management Preferred Qualifications: 1. Proven Broker / Dealer product knowledge/expertise 2. Eight years of compliance experience, with ... and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise… 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 ... **The Role at a Glance** We are excited to bring on an accomplished ** Compliance Consultant** to our Retirement Plan Services/Product team to work in our Fort Wayne… 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 ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- Principal Financial Group (Raleigh, NC)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… 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
- 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 ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… 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
- Citigroup (Charlotte, NC)
- …and funding flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. Focus would be in fulfilling the Resolution ... + Balance Sheet management /Optimization, including familiarity with banking and/or broker dealer product sets + Multi-disciplinary Project Management including… more
- US Bank (Charlotte, NC)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... with regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade… more