- Guardian Life (Raleigh, NC)
- …and annuities. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted product platform. + Prepare business ... to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Truist (Charlotte, NC)
- …efforts of the team * Stays updated and abreast of changing economic, legal , financial planning, investment trends and general market and business issues impacting ... resource for clients, their attorneys and CPAs. * Maintain appropriate legal , operating and regulatory controls to manage risk and compliance. Works… more
- Wells Fargo (Charlotte, NC)
- …with cross-functional partners, such as marketing, operations, technology, risk, compliance, and legal , to ensure the successful implementation and launch of our IRA ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Wells Fargo (Charlotte, NC)
- …of the front-line surveillance program in line with federal, state, agency, legal , regulatory and Corporate Policy requirements. + Oversee the Front Line's execution ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Citizens (Charlotte, NC)
- …the evaluation and execution of assigned investment transactions, including M&A, securities issuance, capital restructuring, etc. + Providing financial analysis for ... checks. Results of the background check are individually reviewed based upon legal requirements imposed by our regulators and with consideration of the nature… more
- Lincoln Financial (Charlotte, 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 ... and/or insurance agents do not provide tax, accounting or legal advice. Lincoln is committed to creating an inclusive… more
- Wells Fargo (Charlotte, NC)
- …teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance + Track progress and provide status of onboarding requests ... 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
- CoStar Realty Information, Inc. (Charlotte, NC)
- …selling CRE, digital advertising, marketing solutions, AdTech, PropTech, FinTech, financial securities , business intelligence or data & analytics. + Demonstration of ... healthcare coverage: Medical / Vision / Dental / Prescription Drug + Life, legal , and supplementary insurance + Commuter and parking benefits + 401(K) retirement… more
- Wells Fargo (Charlotte, NC)
- …CRE Control, CRE Internal Risk Management (IRM), Audit, Finance, Treasury, and Legal departments to execute and lead efforts to develop systems and solutions ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Bank of America (Charlotte, NC)
- …Modifications to obtain credit approval for complex, custom loan products (marketable securities , commercial real estate, fine art, hedge fund, yacht, unsecured and ... financial standing, including liquidity, leverage, cash flow, key risks/mitigants and legal structure (trusts, special wealth vehicles, etc.) and apply sound… more
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