- Truist (Charlotte, NC)
- …and external clients in a call center environment. Facilitates trades in general securities - equities, mutual funds, options, fixed income, and UITs and provides ... Provide order entry and trade facilitation services in general securities . + Liaison with the clearing firm's capital markets...**FINRA Series 7 and 63.** + Bachelor's degree in finance , accounting or economics, or equivalent education and related… more
- TD Bank (Charlotte, NC)
- …of current compliance and regulatory issues (OCC, SEC, FINRA, and State Securities Regulators) + In-depth knowledge of OCC, RIA and B/D Operations, investment ... understanding of regulatory compliance and risk management in the finance industry + Strong technology acumen, comfortable with IT...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Deloitte (Charlotte, NC)
- …compliance and consulting services to large global and dynamic midsize banking and securities clients? If you answered "Yes" to any of these questions, you should ... corporate tax experience + A bachelor's degree in accounting, finance or related field + Strong managerial experience with...Big 4 or large CPA firm experience + Banking, securities and/or capital markets experience The wage range for… more
- Deloitte (Charlotte, NC)
- …compliance and consulting services to large global and dynamic midsize banking and securities clients? If you answered "Yes" to any of these questions, you should ... and industries/sectors you serve + Bachelor's degree in accounting, finance , or related field. + 3+ years' experience in...or large CPA firm experience + Experience in banking, securities and/or capital market industries The wage range for… more
- Truist (Charlotte, NC)
- …with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory functions mainly focus on the review and acceptance of ... supervisory tasks delegated by Principal Managers including oversight of securities related activity of registered bank teammates **Required Qualifications:** The… more
- Atria Wealth Solutions (Raleigh, NC)
- …employee/agent of CUSO Brokerage Services, Inc. (CFS) and/or Members Trust Company (MTC). Securities industry licenses are held by CFS and MTC. The contributions you ... Experience: + Five years of sales or advisory experience in the securities brokerage, advisory, or insurance fields Education: + Four-year degree in Business,… more
- Truist (Charlotte, NC)
- …distributed to the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC) ... financial reports, including reports distributed to or filed with the Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC), Federal… more
- Citigroup (Charlotte, NC)
- …Investments (CTI) operates within Corporate Treasury. CTI invests in high quality liquid securities (HQLA) and Non HQLA securities as governed by Asset and ... communications skills **Education:** + Bachelor's/University degree **Job Family Group:** Finance **Job Family:** Funding & Investments Management **Time Type:**… more
- US Bank (Charlotte, NC)
- …specializes in the origination, structuring and syndication of fixed income securities (primarily publicly traded corporate bonds) for investment grade (IG) ... corporations and partnerships across a variety of industries. Transactions finance a wide array of client needs, such as acquisitions, capital expenditures,… more
- Bank of America (Charlotte, NC)
- …of market facing funding activities for long-term products including debt and capital securities , primarily at BAC and Bank of America, NA; (2) partnership with ... lines, other Treasury functions such as Balance Sheet Management (BSM), Finance , Enterprise Capital Management (ECM) and Global Liquidity Management (GLM), internal… more