- 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
- 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
- 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