- 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. ... Jersey City, NJ** **Required Qualifications:** + Minimum 5 years of experience in Broker Dealer Regulatory Reporting + Bachelor's degree or related work… more
- TD Bank (Charlotte, NC)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... to build a more resilient and scalable compliance risk management function. As part of our team, you'll play...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Wells Fargo (Charlotte, NC)
- … Dealers, and associated regulators (eg, investment banking, financial markets, Broker - Dealer , Swap Dealer , Futures Commission Merchant, asset-backed ... managing regulatory change + Report findings and make recommendations to management and appropriate committees + Identify and recommend opportunities for process… 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 ... workflows. + 5 years of experience in a relationship management or similar role eg, client or vendor-facing. +...outside of Operations eg, Front Office, Technology, Compliance, Risk Management . + Able to work both independently and across… more
- City National Bank (Raleigh, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *SR AUDIT MANAGER- WEALTH MANAGEMENT * WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth … more
- City National Bank (Raleigh, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT * WHAT IS THE OPPORTUNITY? The Audit Manager...audit results to the Senior Audit Manager/Director and senior management in meetings, presentations, and/or written reports and memorandums.… 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 ... team responsible for managing and monitoring LFG's daily cash management transactions and cash forecasting operations in a near...will also work closely with LFG's Senior and Investment Management relative to liquidity, cash management and… 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 ... at a Glance** We are seeking an AVP, Risk Management to join the Financial Risk oversight team, which...which is a part of the broader Enterprise Risk Management (ERM) function in the Office of the CRO.… 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 ... #:** 74458 **The Role at a Glance** The **Director of IT Service Management ** provides strategic leadership and direction to drive performance and ensure operational… more
- Truist (Charlotte, NC)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker / dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of… more