- Wells Fargo (Charlotte, NC)
- …Banking serves our clients by using the Wells Fargo balance sheet to finance our clients' day-to-day corporate activities as well as strategic activity, including ... specialization and partner with our CIB Capital Markets, Corporate Finance and M&A teams to deliver Corporate and Investment...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Wells Fargo (Charlotte, NC)
- …+ Interact closely with multiple business partners including Trading, Sales, Finance , Technology, Documentation, Legal, Payments, Market Risk, CRO's and DRO's + ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (Charlotte, NC)
- …with academic distinction and coursework in financial accounting and corporate finance . + Professional experience through internships, part-time or full-time work, ... accountability and urgency for achieving results. **Job Expectations:** + Registration for Securities Industry Essentials (SIE), Series 63, and Series 79 must be… more
- Wells Fargo (Charlotte, NC)
- …team across a variety of key ad-hoc projects, including pipeline reporting, finance and capital forecasting, and other critical initiatives + Prepare reporting and ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Wells Fargo (Charlotte, NC)
- …companywide, including CIB Front Line, Control, CIB CRO Organization, Business Aligned IRM, Finance , and LOBs. + Solve problems using data and business knowledge. + ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Truist (Raleigh, NC)
- …+ FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance ... NMLS acceptable background check **PREFERRED QUALIFICATIONS** + Bachelor's Degree in Business, Finance or Economics + CFP preferred or CTFA, CFA, CPA, JD or… more
- Truist (Charlotte, NC)
- …degree in Finance , Accounting or Economics 2. Two years of securities industry, preferably in investment banking or equity capital markets 3. Two years ... of client facing sales or presentation experience **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible… more
- Lincoln Financial (Charlotte, NC)
- …administration compliance with the Investment Company Act of 1940 as well as the Securities Acts of 1933 and 1934 . Maintains a working knowledge of strategic ... assigned by management. **What we're looking for** . Bachelor's degree in accounting/ finance desired . A minimum of 1-4 years of accounting, financial… more
- Wells Fargo (Charlotte, NC)
- …equity transactions. The ideal candidate will have deep expertise in real estate finance , structured products, and regulatory frameworks, and will serve as a key ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- TIAA (Charlotte, NC)
- …Experience working with fund structure + Knowledge of SEC and securities regulations **Additional Responsibilities:** Legal Management (primarily Timber, but may ... internal approvals are obtained. **Compliance** + Support and assist compliance, finance , legal and risk team members to ensure maintenance of compliance-related… more