• Broker - Dealer Customer Protection…

    Bank of America (Charlotte, NC)
    …and other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations , and/or regulatory environment. + ... Broker - Dealer Customer Protection Program Lead Charlotte,...(CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection… more
    Bank of America (07/19/25)
    - Related Jobs

  • Broker - Dealer Accounting Group…

    Huntington National Bank (Charlotte, NC)
    …the 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 preparing journal entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will… more
    Huntington National Bank (07/04/25)
    - Related Jobs

  • RNDIP Compliance and Oversight Consultant

    SolomonEdwards (Raleigh, NC)
    …Oversight Consultant to join a leading national financial services organization with significant broker / dealer operations . This hands-on role will lead the ... apply guidelines in practice. * Experience in: o First line operations (1LOD) for broker / dealer or non-deposit investment products (ideal), and/or o Second… more
    SolomonEdwards (07/30/25)
    - Related Jobs

  • Senior Manager - Compliance Programs Governance

    TD Bank (Charlotte, NC)
    …across multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations , and wealth management. This role also ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Experience supporting… more
    TD Bank (08/02/25)
    - Related Jobs

  • Client Service Associate

    Kestra Financial (Raleigh, NC)
    …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
    Kestra Financial (06/09/25)
    - Related Jobs

  • Audit Lead - Compliance C&IB/Treasury Management/…

    PNC (Raleigh, NC)
    …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... services designed to add value and recommend improvement to the organization's operations . Using cutting edge technology, you would participate in a collaborative… more
    PNC (07/02/25)
    - Related Jobs

  • FIU Enhanced Due Diligence Manager

    Equitable (Charlotte, NC)
    …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations , compliance or audit with a ... + Knowledge of life, annuity, brokerage and investment advisory products and operations + Knowledge of Equitable's products, processes and controls of the… more
    Equitable (06/10/25)
    - Related Jobs

  • Sr. Audit Manager- BSA/AML

    City National Bank (Raleigh, NC)
    …* Working knowledge of risk management and/or internal control techniques of investment operations , broker dealer and wealth management is beneficial. ... adherence to regulatory requirements and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager will be responsible for… more
    City National Bank (06/19/25)
    - Related Jobs

  • Compliance Governance & Operations Manager

    TD Bank (Charlotte, NC)
    …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
    TD Bank (07/26/25)
    - Related Jobs

  • GMO Market Solutions Lead - Sr Operations…

    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 ... GMO Market Solutions Lead - Sr Operations Team Lead Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** Acknowledge… more
    Bank of America (07/11/25)
    - Related Jobs