- Vanguard (Charlotte, NC)
- …to closure. + Maintains deep knowledge of the investment and financial services industry, with a focus on broker- dealer operations and banking-like features. ... Conducts routine and targeted compliance monitoring and testing across financial services operations, with a focus on...5 years of compliance experience in financial services , with at least 2 years in broker- dealer… more
- Bank of America (Charlotte, NC)
- …+ Serves as a subject matter expert for the Asset Based Finance and Dealer Financial Services portfolios of loans, oversees the execution of ... At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible… more
- Kestra Financial (Raleigh, NC)
- … financial services industry allowing for a good understanding of broker/ dealer operations and financial services products, including but not limited ... Who We are: Cunningham Financial , a growing financial planning firm, is seeking a Client Service...and managed accounts * Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration… more
- Capital One (Charlotte, NC)
- Dealer Success Manager This Dealer Success Manager position will work to cover the Charlotte, NC metro area. As a Dealer Success Manager, you will create and ... You will educate and gain buy-in from key auto dealer stakeholders concerning the utilization of process to ensure...offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being.… more
- S&P Global (NC)
- …Role:** **Grade Level (for internal use):** 09 **What you will do:** As a Dealer Relations Manager, you must possess superior communication skills that enable you to ... dealership. You consistently demonstrate a clear comprehensive understanding of our dealer partners goals, pain points, markets, and their competitors, as well… more
- PNC (Raleigh, NC)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in a ... of industry leaders who provide independent, objective assurance and consulting services designed to add value and recommend improvement to the organization's… more
- Huntington National Bank (Charlotte, NC)
- …Segment Controller, this position will play a vital role in the broker- dealer 's day-to-day accounting operations. The role will be responsible for preparing journal ... daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison...Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for… more
- Ford Motor Company (Raleigh, NC)
- …complete analysis of dealership operations and financial condition utilizing Financial Statements, DOPR's, Dealer Credit key performance metrics and ... Ford Credit and Ford and Lincoln dealers. + Manage and further develop dealer relationships with Ford Credit. + Provide direct, in-dealership and virtual training… more
- Bank of America (Charlotte, NC)
- …role + BA/BS or equivalent + Specific subject matter expertise in audit and/or the financial services industry + Ability to manage audit projects within a risk ... expertise 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… more
- Cognizant (Charlotte, NC)
- …issues . Experience in a client-facing role and/or the financial services industry, preferably within a broker- dealer , RIA, investment or financial ... and Householding. You will be a valued member of the Banking and Financial Services team and work collaboratively with stakeholders, clients, and other teams. In… more