- 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
- 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
- PNC (Raleigh, NC)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… 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 setting new industry standards. **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)… 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 ... GMO Market Solutions Lead - Sr Operations Team Lead Charlotte, North Carolina **To proceed...business. We are looking for a seasoned GMO Relationship Manager who can help build relationships with our organization's… more
- TD Bank (Charlotte, NC)
- …across multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations , and wealth management. This role also ... and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a… 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. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- Truist (Charlotte, NC)
- …timely field responses in a coordinated manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... Perform supervisory functions that are routinely associated with those of a retail broker / dealer . Actively engage field associates and serve as a dedicated… more
- TD Bank (Charlotte, NC)
- …the general summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support) ... 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 businesses + Excellent… more
- 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. ... regulatory requirements and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager... operations of the BSA/AML function. The Senior Manager will be responsible for all aspects of the… more