- Truist (Charlotte, NC)
- …as well as industry and bank issues, to effectively match them. 3. Broker and direct the design, engineering, implementation, and support of application software ... experience, which could include any combination of: Ten years' experience managing software engineers and systems analysts, Five years' relevant business experience… more
- Equitable (Charlotte, NC)
- …Compliance Officer, the role is responsible for maintaining, developing and managing the overall compliance program functions within Equitable Distributors, LLC ... open collaboration and communication while adhering to EDL's high standards. + Managing Regulatory Examinations, inquiries and reviews. + Overseeing and managing … more
- TD Bank (Charlotte, NC)
- …**Job Description:** The Head of Wealth Remediation is responsible for expanding and managing regulatory oversight program for the first line of defense in Wealth by ... by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (Charlotte, NC)
- …Suite. Responsibilities will include the following: + Serve as Compliance lead for managing and facilitating the US Compliance Risk Assessment, reporting to the US ... leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling… more
- Equitable (Charlotte, NC)
- …retirement related markets. + Possessing a general understanding of overall Broker /Dealer investment and insurance products. + Performing due diligence reviews of ... marketing material in relation to various products lines and initiatives. + Managing and organizing several administrative tasks associated with the role. +… more
- Zurich NA (Raleigh, NC)
- …Risk Engineering team is seeking a Hospitality Specialist with industry experience in managing large hotels and casinos. This is a work from home role positioned ... where necessary. + Provide engineering support to underwriting teams and attend client/ broker meetings as needed. + Manage account risk portfolio and provide account… more
- Lincoln Financial (Charlotte, NC)
- …across the Corporate Technology organization. This role is also responsible for managing a technology investment portfolio for the Corporate Function areas, shaping ... influencing senior management/critical stakeholders experience + Proven experience in managing complex, multi-year program portfolios with budgets exceeding $25M+. +… more
- TD Bank (Charlotte, NC)
- …leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork, and handling ... leadership and management skills with a track record of successfully managing cross-functional teams and large-scale projects + Exceptional communication and… more
- TD Bank (Charlotte, NC)
- …leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling ... + Provides strategic direction and ownership in developing, implementing, and managing US Wealth's suite of investment products including investment management,… more
- PNC (NC)
- …Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred ... leverage that information in creating customized customer solutions. + ** Managing Risk** - Assessing and effectively managing ...+ ** Managing Risk** - Assessing and effectively managing all of the risks associated with their business… more