- Coinbase (Charlotte, NC)
- …negotiation skills preferably developed within the traditional prime brokerage, securities financing, and/or derivatives sectors. A sense of curiosity, flexibility ... a financial services institution in the US (eg bank, e-money issuer, payment service firm, broker dealer / asset manager) or in a law firm supporting such clients. *… more
- Wells Fargo (Charlotte, NC)
- …FINRA regulations + Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules + Relevant experience within a ... check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (Charlotte, NC)
- …collaboration skills, including ability to facilitate decision-making and broker agreements among diverse, differing, and/or conflicting perspectives/priorities + ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which… more
- Lincoln Financial (Charlotte, NC)
- …and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years' ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Raleigh, NC)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Greensboro, NC)
- …administration compliance with the Investment Company Act of 1940 as well as the Securities Acts of 1933 and 1934 . Maintains a working knowledge of strategic ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Bank of America (Charlotte, NC)
- …support for Global Markets sales, trading and underwriting business for securities , foreign exchange, fixed income, exchange traded derivatives, and over-the-counter ... **LOB Job Description:** The successful candidate will work closely with the Prime Broker business as well as other lines of businesses such as Global Wealth… more
- Bank of America (Charlotte, NC)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... of Liquidity Risk & LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and notify or escalate limit breaches… more