- Huntington National Bank (Charlotte, NC)
- …portfolio segments + Support segmentation analysis by originator (eg, branch, dealer , FinTech, purchased portfolios) + Produce actionable insights to mitigate ... experience, second line credit risk oversight + Knowledge of SBA SOP and dealer -based finance channels + Experience in loan portfolio acquisition due diligence or… more
- Truist (Charlotte, NC)
- …supervisory functions that are routinely associated with those of a retail broker/ dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the ... may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize… more
- TD Bank (Charlotte, NC)
- …Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision Analyst ... as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- TD Bank (Charlotte, NC)
- …+ **Experience responding to client complaints within a bank or broker- dealer .** + **Experience reviewing and providing guidance on advertising and marketing ... materials for a broker- dealer /bank.** + **Prior testing, audit or business operations experience in areas involving regulatory compliance.** + **Detail oriented and… more
- US Bank (Charlotte, NC)
- …supporting capital markets products + Experience with securities laws and broker- dealer regulatory matters + Experience with corporate finance, in particular the ... regulatory authorities, especially the SEC and FINRA + Experience with broker- dealer corporate governance + Familiarity and experience with relevant trade groups… more
- Kestra Financial (Raleigh, NC)
- …keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance + Process, ... in the financial services industry allowing for a good understanding of broker/ dealer operations and financial services products, including but not limited to:… more
- Deloitte (Charlotte, NC)
- …investment partnerships, alternative products, family offices, mutual funds, broker- dealers , banks, insurance companies, and other investment managers. ... Qualifications Required: + 3+ years of experience providing tax planning and/or compliance services + Ability to perform job responsibilities within a hybrid work model that requires US Tax professionals to co-locate in person 2-3 days per week + Bachelor's… more
- Deloitte (Charlotte, NC)
- …investment partnerships, alternative products, family offices, mutual funds, broker- dealers , banks, insurance companies, and other investment managers. ... Qualifications Required: + 5+ years of experience providing tax planning and/or compliance services. + Ability to perform job responsibilities within a hybrid work model that requires US Tax professionals to co-locate in person 2-3 days per week. + Bachelor's… more
- Wells Fargo (Charlotte, NC)
- …order routing, RFQ, RFS, Quotations, and Trades from multiple trading venues and broker- dealers + 5+ years of Experience working with line of business partners, Line ... traders, technology teams, and Exchanges to document and troubleshoot production issues related eTrading Quoting, AMM, Inquiry, Post Trade Feeds flows and latency/Performance issues + 5+ years of Experience working with E-trading business users and product… more
- Resideo (Charlotte, NC)
- …We focus on the professional channel, serving over 100,000 contractors, installers, dealers , and integrators across the HVAC, security, fire, electrical, and home ... comfort markets. Our products are found in more than 150 million residential and commercial spaces worldwide, with tens of millions of new devices sold annually. Trusted brands like Honeywell Home, First Alert, and Resideo power connected living for over 12.8… more