- Siemens (Wendell, NC)
- …commercial/financial related matters, including but not limited to handling Accounting, Legal , Tax, New Collaboration Model (NCM) and Export Compliance and Control ... and evaluation of contract conditions, including all attachments, ensuring examination by Legal . Support the PM in identifying, evaluating, and assessing risks and… more
- First Horizon Bank (Greensboro, 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 multiple business partners including Trading, Sales, Finance, Technology, Documentation, Legal , Payments, Market Risk, CRO's and DRO's + Work with external ... 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
- Edward Jones (Durham, NC)
- …Advisor?** + Build meaningful relationships with clients with an understanding of legal and regulatory requirements related to selling financial solutions + Critical ... assigned study period + At least 3-5 years of relevant experience in securities industry preferred + FINRA licenses required within three months. State insurance… more
- US Bank (Charlotte, NC)
- …trust and estate documents and tax returns - Specialized asset protection and legal knowledge preferred - Ability to articulate complex planning concepts to clients ... advanced degree or designation strongly preferred - Related insurance and securities licenses **Location:** The role offers a hybrid/flexible schedule, which means… more
- TD Bank (Charlotte, NC)
- …reporting, with clear messaging on data insights from banking and securities regulation, key compliance metrics, and regulatory remediation. *Ability to synthesize ... Accountabilities:** + Works with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and reports required by… more
- EverBank (Charlotte, NC)
- …communication skills **Preferred Qualifications** + 3+ years of investment securities /derivative accounting experience + Strong data-driven mindset (eg Power BI, ... of an investigation, proceeding, hearing, or action, including an investigation conducted by us, or (c) consistent with our legal duty to furnish information. more
- Wells Fargo (Charlotte, NC)
- …in-depth evaluation + Serve as liaison with all lines of business, internal legal and compliance departments in the development or revision of confirmation templates ... 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
- TD Bank (Charlotte, NC)
- …role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ) Administration, FINRA ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more