- Wells Fargo (Charlotte, NC)
- …a relationship with internal partners, including product groups, risk and operations , and Renewable Energy & Environmental Finance to achieve goals **Required ... and prioritization skills **Job Expectations:** + Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be… more
- Wells Fargo (Charlotte, NC)
- …Lead Data Product Integrity Specialist will be part of the Finance Data Operations Team within the Finance Transformation Office. FTO's Operational mission is to ... + Experience working with various Data Platforms to include Consumer, Commercial, Securities & Derivatives, Deposits, Party and Reference Data + Experience working… more
- JPMorgan Chase (Charlotte, NC)
- …& Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world ... governance initiatives. You will work closely with partners from Sales, Operations , Onboarding, Technology, Risk, Compliance and Legal, driving controls execution… more
- Wells Fargo (Charlotte, NC)
- …accomplish business goals + Knowledge and understanding of commercial real estate operations + Knowledge and understanding of Regulatory Risk and Compliance policies ... 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)
- …Market/Brokered CD Middle Office Group as part of Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at ... 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
- UNC Health Care (Rocky Mount, NC)
- …delay of care. 2.Point of Service (POS) Collection Products, Services, and Securities a.Utilizes price estimation tool, as part of the registration process to ... setting. + 2 - 5 years of prior experience in hospital operations management and/or revenue cycle preferred. **Job Details** Legal Employer: Nash Hospitals… more
- Truist (Charlotte, NC)
- …to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems ... knowledge of retail brokerage and investment advisory industry rules, regulations and operations . + Strong organizational skills and the ability to multi-task are… more
- UNC Health Care (Rocky Mount, NC)
- …delay of care. 2. Point of Service (POS) Collection Products, Services, and Securities a. Utilizes price estimation tool, as part of the registration process to ... setting. + 2 - 5 years of prior experience in hospital operations management and/or revenue cycle preferred. **Job Details** Legal Employer: Nash Hospitals… 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 ... . Act as Business Resource for various teams within Fund Administration Operations (FAO). This includes assisting with issue resolution, special requests, process… more
- TD Bank (Charlotte, NC)
- …flagged electronic communications. This role works closely with the supervision, operations , compliance, and risk departments of the US Wealth organization. **Depth ... 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