- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... shareholder servicing agreements and distribution-related contracts, including those with broker -dealers, retirement plan administrators and other intermediaries. * Drafting,… more
- Navy Federal Credit Union (Matthews, NC)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain,… more
- TD Bank (Charlotte, NC)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more
- Wells Fargo (Charlotte, NC)
- …+ Exposure to bank financial reporting requirements, such as familiarity with broker dealer and regulatory reporting requirements and processes + Foundational ... + Public accounting firm experience in business process, regulatory, or compliance audits and/or business process, regulatory, or advisory/consulting service… more
- Wells Fargo (Charlotte, NC)
- …of the Trade Processing lifecycle + Wealth Management Operations experience + Broker / Dealer Operations experience **Job Expectations:** + This position offers a ... 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)
- …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
- TD Bank (Charlotte, NC)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ)… 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)Thrives in a dynamic team-based environment, effectively manages… 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 ... Highlights_** + Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the… 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 ... participant communications - in partnership with external administration vendor. * Ensure compliance with applicable regulations such as IRC 409A and coordinate with… more