- 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
- 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
- US Bank (Charlotte, NC)
- …+ Candidates should have 10 years or more of relevant experience within the securities industry specifically in a retail broker dealer environment + Series 24 ... General Securities Principal license or the ability to obtain + Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business + Advanced understanding of the business line's… 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
- 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
- Wells Fargo (Charlotte, NC)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker -dealer regulations and lending compliance. **In this role, you will:** + Serve ... requirements impacting Structured Products Group (SPG) including Regulation Asset-Backed Securities (Regulation AB), Regulation RR, Volcker Rule, TRACE, and other… more
- Lincoln Financial (Greensboro, NC)
- …servicing agreements and distribution-related contracts, including those with broker -dealers, retirement plan administrators and other intermediaries. * Drafting, ... agreements, trading services agreements and other agreements related to portfolio securities and trading matters. * Collaborating with peers and leadership across… more
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