- PNC (Raleigh, NC)
- …Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management , Swap Dealer & Broker Dealer . This position is primarily based in ... ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Qualifications** Successful candidates must demonstrate appropriate knowledge,… 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 ... provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in … more
- TD Bank (Charlotte, NC)
- …TD Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The ... to communicate effectively with all levels of staff and management . + Ability to prioritize and multi-task with a...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Bank of America (Charlotte, NC)
- …Services Team within Business Controls is responsible for Broker Dealer Separation Oversight, Identify & Access Management Governance, Global Records ... Information Management Team Lead - Process, Control and Reporting Services Dallas, Texas;Pennington, New Jersey; Charlotte, North Carolina **To proceed with your… more
- Citigroup (Charlotte, NC)
- …+ Balance Sheet management /Optimization, including familiarity with banking and/or broker dealer product sets + Multi-disciplinary Project Management ... Responsible for assisting with the liquidity management of the US Holding Company Treasury, including...flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. Focus would be in… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track record of serving the investment… more
- SMBC (Charlotte, NC)
- …within the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data ... Description** Reporting to the Head of Nikko America's Data Management and Analytics Group, the Data Governance Analyst will...role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap… more
- Wells Fargo (Charlotte, NC)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance. **In this role, you will:** ... etc.). + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with traditional lending regulations (Reg… more
- Principal Financial Group (Raleigh, NC)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... SEC-registered investment advisers, that are responsible for providing investment management services to proprietary mutual funds and separate accounts. You… more