- Wells Fargo (Charlotte, NC)
- …service + Exposure to bank financial reporting requirements, such as familiarity with broker dealer and regulatory reporting requirements and processes + ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- TD Bank (Charlotte, NC)
- …abilities for top-tier client interaction and relationship management + Deep understanding of regulatory compliance and risk management in the finance industry + ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… 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, ... the operational processes to meet bank policies and procedures and regulatory requirements, identify data analytic opportunities, analyze results of testing… 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 ... an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain,… more
- TD Bank (Charlotte, NC)
- …processes in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + ... + Keeps abreast of emerging issues, trends and evolving regulatory requirements to identify new opportunities and assesses potential...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... maintaining the integrity of our financial results, supporting audit and regulatory reviews, and delivering clear, actionable insights to senior leadership. **What… more
- Deloitte (Charlotte, NC)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Senior Consultant, Anti-Money Laundering Analytics About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory ,...partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day… 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 ... and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures.… 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). Additionally, the position is responsible for maintaining and executing… more
- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... of the Trade Processing lifecycle + Wealth Management Operations experience + Broker / Dealer Operations experience **Job Expectations:** + This position offers a… more