- TD Bank (Charlotte, NC)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management + Experience supporting the ... jurisdictions and business lines, including consumer and commercial banking, broker -dealer operations, and wealth management. This role also supports strategic… more
- US Bank (Charlotte, NC)
- …and/or as in-house counsel supporting capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate ... corporate and municipal bond sales, trading, and origination, asset-backed securities and CLOs, interest rate derivatives, commodity derivatives, foreign exchange,… more
- SMBC (Charlotte, NC)
- …and trust worthiness of data. This role will support both SMBC Nikko Securities America, Inc. ( Broker -Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- TD Bank (Charlotte, NC)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management businesses + Excellent written, ... verbal and analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to… more
- Lincoln Financial (Greensboro, NC)
- …at a Glance This position will perform legal work on a broad range of US securities and corporate law matters, with an emphasis on aspects of work related to proxy ... 10-K/10-Q, current reports on Form 8-K and Section 16 reporting obligations; securities offerings under the 1933 Act; earnings releases and related materials; equity… more
- JPMorgan Chase (Waxhaw, NC)
- …AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member ... of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- Truist (Charlotte, NC)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker /dealer. **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the… more
- Truist (Charlotte, NC)
- …timely field responses in a coordinated manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker /dealer. Actively engage field associates and serve as a dedicated resource for… more
- Guardian Life (Raleigh, NC)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Atria Wealth Solutions (King, NC)
- …and employee and customer referral programs, etc. + Keep all securities , insurance and licensing current through successful completion of Continuing Education ... forth by the credit union, FINRA, SEC and the broker /dealer. + Accountable for meeting annual business plan and...and services as well as, life insurance, annuity and securities products. Proficient in operational procedures related to customer… more