- 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
- Atria Wealth Solutions (King, NC)
- …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker / dealer . + Accountable for meeting annual business ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker / dealer … more
- 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...competing priorities.** + **Proficiency with Microsoft Office applications.** + ** FINRA license Series 7, 63 &24** + **Life and… more
- Navy Federal Credit Union (Matthews, NC)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate account… more
- Truist (Charlotte, NC)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... that are routinely associated with those of a retail broker / dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- Truist (Charlotte, NC)
- …timely field responses in a coordinated manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... that are routinely associated with those of a retail broker / dealer . Actively engage field associates and serve...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- Wells Fargo (Charlotte, NC)
- …business + Maintain strong partnerships with Wells Fargo's internal partners such as the broker / dealer (Wells Fargo Advisors), Wells Fargo Private Bank and ... other internal divisions including consulting, marketing, legal, compliance and operations **Required Qualifications:** + 5+ years of Product Management, product… more
- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** + Manage a team of 4 ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu… 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, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
- Lincoln Financial (Raleigh, NC)
- …performance feedback _Nice-to-have experience (Preferred)_ : + Retirement plan knowledge and operations experience + FINRA Series 6 license + Project management ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more