- Truist (Charlotte, NC)
- …States of America) **Please review the following job description:** Provide senior -level leadership and coordination of financial analysis and performance reporting ... reporting related to the Bank's and LOB's financial performance and/or regulatory/ SEC requirements. 4. Coordinate profit plans and monthly forecasts with Funds… more
- Huntington National Bank (Charlotte, NC)
- …also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in ... profit and loss reporting, branch office income and expense statements, quarterly SEC /Regulatory reporting and the year-end audit. + Interact with the Underwriting… more
- TD Bank (Charlotte, NC)
- …required + Executes all administration required to comply with FINRA, SEC and State Insurance Regulators regarding Registered Representatives, FINRA Registered ... reporting associated with and/or required by FINRA or the SEC and the maintenance of the books and records...and reward the contributions of others + As a senior executive team member, and across all areas of… more
- TD Bank (Charlotte, NC)
- …Keeps abreast of emerging issues and trends from key regulatory bodies including FINRA, SEC , OCC + Partners with Senior Executives across Consumer Distribution & ... for the first line of defense in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners (Compliance, Legal), and AMCB Consumer Bank teams to… more
- Atria Wealth Solutions (King, NC)
- …plan. + Perform various additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on trust and respect with ... and regulations set forth by the credit union, FINRA, SEC and the broker/dealer. + Accountable for meeting annual...the future of wealth management with the open-minded agility, senior -level access, and expert technology to help get you… more