- 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
- Capital One (Charlotte, NC)
- Capital Markets Senior Associate Are you looking for a challenging role...or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience ... causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings...of internet provider, speed and service package from the associate . Requirements are subject to change, as new systems… 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 ... this role:** Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote… 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 ... **About this role:** Wells Fargo is seeking an Associate Financial Relationship Advisor in Wealth and Investment Management as part of Wells Fargo Advisors. Learn… 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 ... this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of...license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is… more
- Wells Fargo (North Wilkesboro, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas… 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 ... Brokerage Client Assistant - RCAST & Registered as part of the Remote Client Associate Support Team (RCAST) in Wealth and Investment Management as part of Wells… more