- Vanguard (Charlotte, NC)
- …to closure. + Maintains deep knowledge of the investment and financial services industry, with a focus on broker - dealer operations and banking-like ... 5 years of compliance experience in financial services , with at least 2 years in broker - dealer or banking-like operations. + Proven experience with… more
- Kestra Financial (Raleigh, NC)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- PNC (Raleigh, NC)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... of industry leaders who provide independent, objective assurance and consulting services designed to add value and recommend improvement to the organization's… more
- Huntington National Bank (Charlotte, NC)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison...Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for… more
- Bank of America (Charlotte, NC)
- …subject matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + ... BA/BS or equivalent + Specific subject matter expertise in audit and/or the financial services industry + Ability to manage audit projects within a risk based… more
- Cognizant (Charlotte, NC)
- …and quality issues . Experience in a client-facing role and/or the financial services industry, preferably within a broker - dealer , RIA, investment or ... and Householding. You will be a valued member of the Banking and Financial Services team and work collaboratively with stakeholders, clients, and other teams. In… more
- Lincoln Financial (Greensboro, NC)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... #:** 73936 **The Role at a Glance** As the Financial Services Wholesaling Representative for the Life...clients. This is a consultative phone-based position responding to broker inquiries received via inbound calls. You will answer… more
- Lincoln Financial (Greensboro, NC)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... financial analysis, or a related field, preferably within the financial services or investment banking industry. Experience working in a second line market… more
- Atria Wealth Solutions (King, NC)
- …investment products and services are offered through CUSO Financial Services , LP ("CFS"), a registered broker - dealer (Member FINRA/SIPC) and SEC ... financial institutions, etc.) SPECIFIC ACCOUNTABILITIES + Deliver outstanding service to both internal and external service ...Services , LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- Lincoln Financial (Raleigh, NC)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... role include designing, managing, maintaining and securing LFG's (Lincoln Financial Groups) Active Directory, Active Directory Certificate Services ,… more