- Trustmark (Raleigh, NC)
- …our colleagues, clients and communities. **About the role** The Case Underwriter III is responsible for providing timely and accurate underwriting offers, while ... new/maintain existing business. Stays current with our Administrative, Enrollment, Broker , and Enrollment Company capabilities and processes. Responsible for… more
- Zurich NA (Raleigh, NC)
- …an experienced Construction Professional Liability Underwriter, (Mid-Level II or Sr Level III ) to join our Specialties Construction team. We are open to hiring ... Liability Underwriter (Level II), or Sr. Construction Property Underwriter (Leve III ). The hiring manager will determine the appropriate level based upon… more
- Zurich NA (Charlotte, NC)
- …Zurich is seeking an experienced Construction Casualty Underwriter-Team Lead, (Sr. Level III or AVP Level IV) to join our Specialties Construction Casualty team ... role will be filled at either the Senior Construction Casualty Underwriter (Level III ) or AVP, Construction Casualty Underwriter (Leve IV). The hiring manager will… more
- Cardinal Health (Raleigh, NC)
- …In general, the Trusted Trader is responsible for Cardinal Health's Tier III CTPAT (Customs-Trade Partnership Against Terrorism) and PIP (Partners in Protection) ... This position will also support additional areas such as broker management, duty analysis, and bond sufficiency reviews as...special projects. + Point of contact to oversee Customs Broker Due Diligence and adherence to the Vendor Compliance… 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:** + Serve ... in FINRA, SEC, FRB, and OCC regulations related to broker -dealer and ABS activities. + Familiarity with traditional lending...Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should… more
- Wells Fargo (Charlotte, NC)
- …and interpersonal communication skills + 2+ years of experience working with Broker Dealers, and associated regulators (eg, investment banking, financial markets, ... Broker -Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and...Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should… more
- Zurich NA (Raleigh, NC)
- …of underwriting + Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on assignments of varying degrees ... of complexity Underwriting Officer-AVP (Level III ) Basic Qualifications: + High School Diploma or Equivalent and 5 or more years of experience in the Underwriting,… more
- Wells Fargo (Charlotte, NC)
- …FINRA regulations + Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules + Relevant experience within a ... CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should not be subject to… more
- Wells Fargo (Charlotte, NC)
- …industry experience + Experience in branch office supervision, compliance, broker -dealer governance, sales supervision + Experience supporting independent Advisors ... CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should not be subject to… more
- Wells Fargo (Charlotte, NC)
- …collaboration skills, including ability to facilitate decision-making and broker agreements among diverse, differing, and/or conflicting perspectives/priorities + ... CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should not be subject to… more