- Vanguard (Charlotte, NC)
- …a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and market trends to inform compliance strategy. + Serves ... seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits,… more
- PNC (Raleigh, NC)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- Huntington National Bank (Charlotte, NC)
- …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 ... of revenues and expenses associated with underwriting activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and… more
- Truist (Charlotte, NC)
- …with all levels of management Preferred Qualifications: 1. Proven Broker / Dealer product knowledge/expertise 2. Eight years of compliance experience, with ... years of direct experience in compliance 4. Demonstrated experience with regulatory agencies, requirements, and/or regulatory compliance . 5. Strong… more
- Wells Fargo (Charlotte, NC)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance . **In this role, you will:** ... Warehouse lending functions. This role combines strategic advisory and operational compliance responsibilities, ensuring robust regulatory compliance across… more
- Lincoln Financial (Greensboro, NC)
- …the implementation of new processes to incorporate new trends and/or ensure regulatory compliance . * Managing, conducting and/or participating in complex ... at a Glance** As a Senior Consultant, Fund Admin, Regulatory , you will prepare complex regulatory filings...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more
- Guardian Life (Raleigh, NC)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… 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. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- TD Bank (Charlotte, NC)
- …of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to ... regulatory remediation + Familiarity with developing and implementing regulatory compliance risk management frameworks and programs, including … more
- PNC (NC)
- …The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) ... supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be performed from… more