- TIAA (Charlotte, NC)
- …company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our ... dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial … more
- City National Bank (Raleigh, NC)
- …7+ years of audit experience in an internal audit role within the banking or financial services industry, or with an public accounting firm. * Minimum 3 years ... a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic… 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, ... and technologies including… · Consulting · Material Handling Equipment, Parts, and Service · Automated Mobile Robots · Vision guided vehicles and automated guided… more
- US Bank (Charlotte, NC)
- …or the ability to obtain + Advanced knowledge of applicable laws, regulations, financial services , and regulatory trends that impact their assigned line of ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...within the securities industry specifically in a retail broker dealer environment + Series 24 General Securities Principal license… 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, ... and technologies including… · Consulting · Material Handling Equipment, Parts, and Service · Automated Mobile Robots · Vision guided vehicles and automated guided… more
- PNC (NC)
- …Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred for ... and define the compliance program objectives for assigned area, products/ services , and applicable regulations. Communicates and socializes compliance program… more
- Equitable (Charlotte, NC)
- …effective judgments as to prioritizing and time allocation. **Regulatory Environment - Financial Services :** Knowledge of regulatory environment; ability to help ... that will help unlock your potential? Reporting directly to the Equitable Financial Chief Compliance Officer, the role is responsible for maintaining, developing and… more
- City National Bank (Raleigh, NC)
- …a subsidiary of Royal Bank of Canada, one of North America's leading diversified financial services companies. To learn more about City National and our dynamic ... Personal and Employee Benefit Trust Administration, Retirement and Custody Services , Specialty Wealth Assets, Investment Advisory, Broker/ Dealer , Investment… more
- SMBC (Charlotte, NC)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer finance. ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- Equitable (Charlotte, NC)
- …**Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations, compliance or audit with a focus on anti-money ... are guided by principles of inclusivity, flexibility, and connection. Come join Equitable's Financial Intelligence Unit and enjoy working for a leading financial … more