- Atria Wealth Solutions (Raleigh, NC)
- Through its relationship with CUSO Financial Services , L. P. (CFS) Coastal Federal Credit Union is seeking a Financial Advisor to provide retirement and ... through CFS (Member FINRA/SIPC). To learn more about CUSO Financial Services , LP visit www.cusonet.com . CFS...LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year… more
- Principal Financial Group (Raleigh, NC)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations: client service , account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- SMBC (Charlotte, NC)
- …the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data requirements ... 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… more
- TIAA (Charlotte, NC)
- …company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our ... states. This role falls under the scope of the Broker - Dealer . All licenses must be obtained within...work at not-for-profits rely on our wide range of financial products and services to support and… more
- TD Bank (Charlotte, NC)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- Bank of America (Charlotte, NC)
- …an impact. Join us! **Job Description:** This job is responsible for reviewing of Broker Dealer (B/D) Regulatory Reporting returns for US regulated B/D entities. ... **Required Qualifications:** + Minimum 5 years of experience in Broker Dealer Regulatory Reporting + Bachelor's degree...work experience + Minimum 5 years of experience in Financial Services + Proficient with Excel +… more
- TD Bank (Charlotte, NC)
- …a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision Analyst ... Language:** + This position is with a FINRA member, broker and/or dealer and is subject to...banking experience or are just starting your career in financial services , we can help you realize… more
- Bank of America (Charlotte, NC)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... are guided by a common purpose to help make financial lives better through the power of every connection....can help build relationships with our organization's largest third-party service providers and engage with the most influential industry… more
- US Bank (Charlotte, NC)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience… more
- Citigroup (Charlotte, NC)
- …and funding flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. Focus would be in fulfilling the Resolution ... CPA, or CFA a plus. + 10+ years of experience working for a financial services organization, including Treasury and Finance highly preferred + Core knowledge… more