- Truist (Charlotte, NC)
- …**Please review the following job description:** An independent team within CIB - Sales , Trading and Research that supports the Surveillance program within CIB. ... Specific activities may change from time to time. 1. Identifies risks within Sales , Trading & Research where surveillance programs would support risk mitigation… more
- S&P Global (Raleigh, NC)
- …not eligible for additional compensation such as an annual incentive bonus or sales commission plan. This role is eligible to receive additional S&P Global benefits. ... global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts...status, or any other status protected by law. Only electronic job submissions will be considered for employment. If… more
- Truist (Charlotte, NC)
- …transaction and escalate complex matters to Team Lead, manager and/or Regional Sales Management. Review of Electronic Correspondence/Social Media Review to ... supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Provide oversight and support for open risk, audit, and… more
- Wells Fargo (Charlotte, NC)
- …investment banking; equity; foreign exchange, rates and fixed income solutions including sales , trading , and research capabilities to corporate, commercial real ... as well as other non-financial regulatory reporting regimes, ie, TRACE and Electronic Blue Sheet reporting, to identify errors, research root causes, initiate… more
- Truist (Charlotte, NC)
- …manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to ... Supervision Group for each respective complex. + Principal Review of electronic client correspondence, retail communications, seminars and social media to ensure… more