- 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
- TD Bank (Charlotte, NC)
- …manage multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... and structured products + Manages investment management product including strategies and manager 's available on the platform + Manages solicitation policy for all… 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 ... Ops to drive a seamless new hire and hiring manager experience, using data to identify and improve upon...experience space. + You will carry out duties in compliance with all state and federal regulations and guidelines.… more