- Equitable (Charlotte, NC)
- …+ 7 years of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. + ... EDL meets new or developing requirements. + Overseeing EDL's compliance program to ensure it meets regulatory ...EDL's compliance program to ensure it meets regulatory rule requirements and where appropriate strive for constant… more
- Lincoln Financial (Raleigh, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- Equitable (Charlotte, NC)
- … compliance reviewer role, preferably with an insurance company affiliated broker / dealer , working with retail field commission- and fee-based producers, as ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** :...associates, branch office personnel, and corporate personnel/departments related to regulatory , industry and company requirements and standards. + Filing… more
- Principal Financial Group (Raleigh, NC)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of...and facilities management. + Adhere to all legal and regulatory requirements while performing work activities and follow high… more
- 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
- TD Bank (Charlotte, NC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- US Bank (Charlotte, NC)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, ... Collaborate with other related support functions, such as Risk, Compliance and Regulatory Services + Work with...authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience… more
- Lincoln Financial (Greensboro, NC)
- …and assist Funds Management Legal and Compliance group, and Lincoln, with key regulatory compliance . * Assisting in all regulatory examinations of fund ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- TD Bank (Charlotte, NC)
- …for top-tier client interaction and relationship management. + Deep understanding of regulatory compliance and risk management in the finance industry + ... and AMCB Consumer Bank teams to ensure that all regulatory , compliance , audit, and self-ID findings are...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Bank of America (Charlotte, NC)
- …expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... understand regulatory requirements, and build testing programs to ensure compliance and mitigate risks + Proven track record of executing multiple projects… more