• Broker Dealer Outsourcing…

    Equitable (Charlotte, NC)
    …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations , maintaining compliance with regulatory standards, and ... candidate will have a strong background in financial services, particularly within broker - dealer operations , and possess advanced analytical capabilities.… more
    Equitable (12/12/25)
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  • Sr Compliance Testing Lead

    Vanguard (Charlotte, NC)
    …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... of compliance experience in financial services, with at least 2 years in broker - dealer or banking-like operations . + Proven experience in Regulation E,… more
    Vanguard (01/13/26)
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  • 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 (12/08/25)
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  • Manager, Broker - Dealer Compliance

    Coinbase (Charlotte, NC)
    …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
    Coinbase (10/30/25)
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  • Compliance Business Oversight Manager

    TD Bank (Charlotte, NC)
    …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
    TD Bank (01/14/26)
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  • Administrative Assistant and Project Coordinator…

    Equitable (Charlotte, NC)
    …join an organization that will help unlock your potential? The head of the Broker Dealer department is seeking a highly motivated, detail-oriented and efficient ... gain experience and exposure across all areas of the Broker Dealer business. We need an enthusiastic...logistics. + Support ad hoc projects across marketing, communications, operations , and product functions. The base salary range for… more
    Equitable (12/17/25)
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  • Capital Markets Senior Associate

    Capital One (Charlotte, NC)
    …experience + FINRA Series 7, 79 or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience with Asset-Backed Securities + 4+ years of ... firm. The position will be part of the Commercial Operations team and will involve the processing of functions...causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings… more
    Capital One (01/02/26)
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  • Senior Audit Manager - Wealth Management, Capital…

    US Bank (Charlotte, NC)
    …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Operations , Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA Regulations,… more
    US Bank (01/10/26)
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  • Wealth Regional Supervisor

    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
    Truist (12/25/25)
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  • IT Business Analyst

    ManpowerGroup (Charlotte, NC)
    …Role Objectives + **Team Integration:** Join a Data Strategy team spanning across broker - dealer and swap- dealer entities. + **Analysis:** Perform business ... to modernize our technology, focus on a data-driven approach, and scale our operations . As a result of this expansion, we are seeking an experienced **Business… more
    ManpowerGroup (12/20/25)
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