- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Financial Network (FiNet) within the...our Financial Network (FiNet) within the Branch Infrastructure and Operations group as part of Wealth & Investment Management.… more
- TEKsystems (Charlotte, NC)
- …forms or other operational processes. Skills FINRA, administrative support, Smartsheet, RIA, Broker Dealer , excel, Additional Skills & Qualifications * Client ... transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team… more
- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... knowledge of retail brokerage and investment advisory industry rules, regulations and operations . + Strong organizational skills and the ability to multi-task. +… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... independent judgment while developing expertise in Business Growth Strategy operations , policies, procedures, and compliance requirements + Collaborate and consult… more