- Equitable (Charlotte, NC)
- …+ Experience in dealing with sophisticated investment advisory and securities brokerage compliance issues and substantive product knowledge in these areas + ... Full understanding of the requirements of the FINRA Rules, Investment Advisers Act of 1940 along with related regulatory guidance, and other aspects of the regulatory regime for SEC-investment advisers, as well as knowledge of federal and state securities laws… more
- First Horizon Bank (Walkertown, NC)
- …private banking, consumer, small business, wealth and trust management, retail brokerage , capital markets, fixed income, and mortgage banking services. First Horizon ... has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable US Bank. More information is available at www.FirstHorizon.com… more
- Capital One (Charlotte, NC)
- …years of experience in one or more areas of compliance, such as consumer, brokerage , wealth management, or trust + 1+ years of experience with data analytics tools ... and performing data analysis in support of internal auditing + Master's Degree in Accounting, Master's Degree in Finance, or Master of Business Administration + Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory… more
- Capital One (Charlotte, NC)
- …experience in one or more areas of compliance, such as consumer compliance or brokerage compliance. + 10+ years of experience in banking or the financial services ... industry + 2+ years of experience with data analytics tools in support of internal audit + 1+ years of experience with privacy compliance in the financial services industry + Certified Regulatory Compliance Manager (CRCM); Certified Internal Auditor (CIA) or… more
- Xylem (Charlotte, NC)
- …High levels of energy, drive, focus. **Preferred Qualifications:** + US Customs Brokerage License highly desirable + CTCS (Certified Trade Compliance Specialist) The ... estimated salary range for this position is $93,900.00 - 125,000.00 plus bonus. Starting pay is dependent on multiple factors, such as skills, experience, and work location, and is not typically at the top of the range. At Xylem, we offer a competitive… more
- First Horizon Bank (Charlotte, NC)
- …private banking, consumer, small business, wealth and trust management, retail brokerage , capital markets, fixed income, and mortgage banking services. First Horizon ... has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable US Bank. More information is available at www.FirstHorizon.com… more
- Anywhere Real Estate (Charlotte, NC)
- …next move through our leading integrated services, which include franchise, brokerage , relocation, and title and settlement businesses, as well as mortgage ... and title insurance underwriter minority owned joint ventures. Anywhere supports nearly 1 million home sale transactions annually and our portfolio of industry-leading brands turns houses into homes in more than 118 countries and territories across the world.… more
- AAA Cooper Transportation (Asheville, NC)
- …trucking company providing less-than-truckload, truck load, dedicated contract carriage, brokerage and international services. With directly operated facilities in ... the Southeast, Southwest, Midwest and Puerto Rico and partners carriers with coverage into Canada, Mexico and across the globe, AAA Cooper Transportation can service nearly all transportation needs. AAA Cooper Linehaul Drivers are responsible for moving… more
- First Horizon Bank (Charlotte, NC)
- …private banking, consumer, small business, wealth and trust management, retail brokerage , capital markets, fixed income, and mortgage banking services. First Horizon ... has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable US Bank. More information is available at www.FirstHorizon.com… more
- First Horizon Bank (Raleigh, NC)
- …private banking, consumer, small business, wealth and trust management, retail brokerage , capital markets, fixed income, and mortgage banking services. First Horizon ... has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable US Bank. More information is available at www.FirstHorizon.com. **Benefit Highlights** * Medical with wellness incentives, dental, and vision… more