- Hendrick Automotive Company (Charlotte, NC)
- …cancellation forms are accurate and completely filled out to include customer/ dealer signature and refund section. + Distribute cancellation refunds accordingly (ex. ... cut checks, down payment JE). + Verify weekly enrollment charges and monthly cancellation payments received + Post charges and payments, upon receipt from accounting manager via bank reconciliation. + Manage/clear schedules for each assigned dealership. +… more
- Bank of America (Charlotte, NC)
- …in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in performing end-to-end ... substantive testing of data elements and transactions from financial statements or regulatory reports to data capture/source documentation + Experiencing in evaluating the design effectiveness of internal controls across the data lifecycle of a large… more
- The Raymond Corporation (Charlotte, NC)
- Carolina Handling, a Raymond Dealer , is one of the largest automation systems integrators in the world. We specialize in providing turnkey solutions for warehouses, ... distribution centers, and manufacturers. Our product and solutions offerings allow our customers to move material faster and more efficient by implementing automation equipment and technologies including… · Consulting · Material Handling Equipment, Parts, and… more
- Equitable (Charlotte, NC)
- …of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. + Demonstrated understanding ... of SEC, FINRA and State Insurance laws, rules and regulations. + Proven knowledge and understanding of the variable individual and group annuity retirement markets and practices. + Substantiated track record of implementing policy and procedure updates. +… 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 Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… 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 of 4 ... - 10 Supervisors. + Provide coaching and focused training for team as needs are identified. + Supervisory responsibility for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account management.… 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 Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… 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 Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… 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 Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… 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 Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more