- US Bank (Charlotte, NC)
- …more of relevant experience within the securities industry specifically in a retail broker dealer environment + Series 24 General Securities Principal license or ... the ability to obtain + Advanced knowledge of applicable laws, regulations, financial services , and regulatory trends that impact their assigned line of business… more
- PNC (NC)
- …The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are ... and define the compliance program objectives for assigned area, products/ services , and applicable regulations. Communicates and socializes compliance program… more
- Equitable (Charlotte, NC)
- …+ 7 years of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. + Demonstrated ... effective judgments as to prioritizing and time allocation. **Regulatory Environment - Financial Services :** Knowledge of regulatory environment; ability to help… more
- City National Bank (Raleigh, NC)
- …and Custody Services , Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, Registered ... of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic company… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations, compliance or audit with a ... are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Financial Intelligence Unit and enjoy working for a leading financial … more
- Deloitte (Charlotte, NC)
- …investments to help strategic roadmap planning. The TeamOur Forensic, Discovery, & Financial Crime offering provides services to support anti-money laundering, ... workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. +… more
- Truist (Charlotte, NC)
- …99, Series 24, Series 53 3. Minimum of 7 years of experience within the financial services industry. 4. Strong understanding of trading activities in one or more ... financial asset classes (Equities, Fixed Income, or Derivatives). 5....degree 2. Trade, as well as Regulator or institutional broker dealer compliance experience preferred. The base… more
- Wells Fargo (Charlotte, NC)
- …FINRA regulations + Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules + Relevant experience ... **In this role, you will:** + Deliver high standards of client service while ensuring all internal risk and external compliance standards and requirements… more
- Truist (Charlotte, NC)
- …in compliance, supervision and/or administration. 3. Extensive knowledge of the broker / dealer and registered investment adviser industry. 4. Excellent written, ... (United States of America) **Please review the following job description:** Provides service , support and advice to promote the business unit's growth and… more