- 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
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... within the Corporate Finance organization. We are seeking a self-motivated and strategic Manager to help lead our Finance Systems Strategy team. In this role, you… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **The Role at a Glance** The Sr. Strategic Supplier Manager - IT and Procurement Transformation will provide subject...VMOs as well as Legal, Privacy IT, TPRM, Corporate Compliance & other key partners to drive achievement of… more
- US Bank (Charlotte, NC)
- …more of relevant experience within the securities industry specifically in a retail broker dealer environment + Series 24 General Securities Principal license or ... Highlights_** + Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the… more
- TD Bank (Charlotte, NC)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more
- TD Bank (Charlotte, NC)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... across over the counter and cleared markets. for existing/developing strategies for compliance with regulations to key stakeholders & team members. + Researches,… more
- Truist (Charlotte, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... + 3 to 5 years of experience in brokerage with an emphasis in compliance , operations or supervisory function + Strong written and oral communication skills and… more
- Bank of America (Charlotte, NC)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more