- 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 ... of business processes, risks, and control objectives. + Carry out duties in compliance with all state and federal regulations and guidelines. Comply with all company… 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 ... tied to current business requirements. + Leads the development of risk mitigation and compliance strategies to ensure that the IT portfolio adheres to compliance … 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). Additionally, the position is responsible for maintaining and executing… more
- 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 ... Names Rule requirements. * Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and… more
- 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 ... across over the counter and cleared markets. for existing/developing strategies for compliance with regulations to key stakeholders & team members. + Researches,… 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 ... maturity working across IT, business resilience, risk management, regulatory and compliance . **What you'll be doing** * Designs and implements technical disaster… more
- 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 ... potential impacts of new and proposed corporate and securities laws to ensure continued compliance * Stay up to date on governance trends, general legal issues, and… 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 ... and ensures the integrity of accounting records for completeness, accuracy and compliance with accepted accounting policies and principles. + Builds mortgage loans… more
- Bank of America (Charlotte, NC)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... goals. Influencing and negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and Banking) risk colleagues +… more
- Bank of America (Charlotte, NC)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... independent and objective assurance to improve the organization's operations and compliance with key regulations by evaluating the effectiveness of risk management,… more