- US Bank (Charlotte, NC)
- …more of relevant experience within the securities industry specifically in a retail broker dealer environment + Series 24 General Securities Principal license or ... Highlights_** + Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations, compliance or audit with a ... continually identifies new business risks and lessons learned from applicable regulatory enforcements. + Execute AML and Sanctions annual risk assessment program,… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... to new and existing clients - the legal and compliance aspects of designing and administering life insurance and...position with third parties such as federal and state regulatory bodies and agencies + Prepare and maintain registration… more
- Lincoln Financial (Raleigh, NC)
- …development + Knowledge of internal controls, business / information technology risk, regulatory and compliance frameworks (ITIL, NIST, COBIT, NY DFS, SEC, ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Charlotte, NC)
- …coordination and service maturity working across IT, business resilience, risk management, regulatory and compliance . **What you'll be doing** * Designs and ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... provide financial administration oversight of the Lincoln Funds extensive regulatory filings. The focus of this position is to...are filed timely and accurately. . Assures fund administration compliance with the Investment Company Act of 1940 as… more
- Lincoln Financial (Raleigh, NC)
- …strategic projects. The team plays a critical role in ensuring model accuracy, regulatory compliance , and alignment with company strategy. This position will ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Charlotte, NC)
- …a high standard of service and governance for all programs. * Support audits, compliance reviews, regulatory filings and other duties as needed. **What we're ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Bank of America (Charlotte, NC)
- …+ Issue Management + Liquidity Management + Monitoring, Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift (United States of America) **Hours ... & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor...negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Python and Java, ensuring alignment with best practices, business goals, and regulatory requirements. + Develop, oversee and guide the implementation of AWS… more