- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... include periodic screening and mandatory reporting of certain incidents. Specific compliance policies may apply regarding outside activities or personal investing;… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Truist (Charlotte, NC)
- …job description:** The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management ... across Truist (where applicable). 7. Advocate the Bank's risk culture, compliance with enterprise risk initiatives and promote sound risk management practices.… more
- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.… more
- City National Bank (Charlotte, NC)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... + 3 to 5 years of experience in brokerage with an emphasis in compliance , operations or supervisory function + Strong written and oral communication skills and… more
- TEKsystems (Charlotte, NC)
- …forms or other operational processes. Skills FINRA, administrative support, Smartsheet, RIA, Broker Dealer , excel, Additional Skills & Qualifications * Client ... to utilize technology to route materials externally (e-signature) and internally ( Compliance Max system) for review by advisors/assistants and internal business… more
- Deloitte (Charlotte, NC)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... engagements in partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day to day operations,… more
- Equitable (Charlotte, NC)
- …other retirement related markets. + Possessing a general understanding of overall Broker / Dealer investment and insurance products. + Performing due diligence ... retirement plan products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and retirement plan… more