- PNC (Raleigh, NC)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… more
- Huntington National Bank (Charlotte, NC)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… more
- TD Bank (Charlotte, NC)
- …is outlined in the general summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation ... risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal… more
- Guardian Life (Raleigh, NC)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations, compliance or audit with a ... FIU Enhanced Due Diligence Manager ( 250000B6 ) **Primary Location** : UNITED...diligence procedures. + Manage the Sanctions Program to ensure compliance with the US Treasury Department's Office of Foreign… more
- City National Bank (Raleigh, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *SR AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The...Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages… more
- City National Bank (Raleigh, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk). Additionally, the position is responsible for maintaining… more
- Bank of America (Charlotte, NC)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... Senior Audit Manager Charlotte, North Carolina **To proceed with your...and objective assurance to improve the organization's operations and compliance with key regulations by evaluating the effectiveness of… more
- Wells Fargo (Charlotte, NC)
- …of the Trade Processing lifecycle + Wealth Management Operations experience + Broker / Dealer Operations experience **Job Expectations:** + This position offers a ... **About this role:** Wells Fargo is seeking a senior lead product manager for the Custody and Wealth Servicing Products in WIM Operations. This role will develop and… more