• Manager , Broker - Dealer…

    Coinbase (Charlotte, NC)
    …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
    Coinbase (10/30/25)
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  • Financial Advisor

    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. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
    Atria Wealth Solutions (11/22/25)
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  • Branch Support Manager

    Wells Fargo (Raleigh, NC)
    …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of...Support team, and Client Associates in various aspects of operations , compliance, and technology + Collaborate with the Brokerage… more
    Wells Fargo (11/25/25)
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  • Deputy to the US Head of Compliance Programs

    TD Bank (Charlotte, NC)
    …and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written,… more
    TD Bank (11/22/25)
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  • Wealth Regional Supervisor - New Accounts

    Truist (Nashville, NC)
    …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… more
    Truist (10/08/25)
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