- Thrivent Financial (Greensboro, NC)
- …client relations and planning activities. The person in this role supports securities and insurance-related tasks and other administrative tasks as assigned. In ... and engage Christians to make a real impact in your community. Position Requirements: * Securities registration required- SIE, Series 7 and 66 (or 7, 63 & 65) before… more
- Atria Wealth Solutions (Raleigh, NC)
- …employee/agent of CUSO Brokerage Services, Inc. (CFS) and/or Members Trust Company (MTC). Securities industry licenses are held by CFS and MTC. The contributions you ... Five years of sales or advisory experience in the securities brokerage, advisory, or insurance fields Education: + Four-year...LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker -dealer and RIA with a stable, 25-year track record… more
- Wells Fargo (Charlotte, NC)
- …representatives (eg, financial advisors) to ensure their compliance with FINRA and Securities and Exchange Commission (SEC) rules and regulations, as well as federal ... industry experience + Experience in branch office supervision, compliance, broker -dealer governance, sales supervision + Experience supporting independent Advisors… more
- Equitable (Charlotte, NC)
- …corporate marketing teams. All reviews are based on FINRA, SEC, and state securities and insurance regulations, as well as company standards for fair and balanced ... contextual revisions and feedback for the purpose of ensuring compliance with securities and insurance industry regulations and company policies and standards prior… more
- Equitable (Charlotte, NC)
- …7 years of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. + Demonstrated ... follow the organization-specific policies and guidelines, affecting business practices. ** Securities Laws and Regulations (SLR) Compliance:** Knowledge of … more
- Thrivent Financial (Raleigh, NC)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more
- Wells Fargo (Charlotte, NC)
- …and interpersonal communication skills + 2+ years of experience working with Broker Dealers, and associated regulators (eg, investment banking, financial markets, ... Broker -Dealer, Swap Dealer, Futures Commission Merchant, asset-backed finance, and...subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Bank of America (Charlotte, NC)
- …impact. Join us! **Job Description:** This job is responsible for reviewing of Broker Dealer (B/D) Regulatory Reporting returns for US regulated B/D entities. Key ... auditors, and supporting change initiatives. Job expectations include maintaining securities licensing, preparing and analyzing financial reports, performing risk… more
- TD Bank (Charlotte, NC)
- …Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision ... Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- Navy Federal Credit Union (Matthews, NC)
- …business relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + ... + Ability to obtain appointment by the sponsoring insurance company, broker -dealer and/or Registered Investment Advisory Firm + Experience in business development… more