- JPMorgan Chase (Charlotte, NC)
- …with the opportunity to take your career to the next level. As an Investment Specialist in the US Private Bank, you are responsible for helping the Banker win new ... internal clients + Adhere to internal and external policies and procedures regarding securities transactions and code of conduct + Provide guidance to junior staff… more
- Truist (Charlotte, NC)
- …1. Bachelor's degree in Finance, Accounting or Economics 2. Two years of securities industry, preferably in investment banking or equity capital markets 3. Two years ... of client facing sales or presentation experience **General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible… 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 ... investment market activities and industry pronouncements and their impacts on the Funds as well as Lincoln National Life Insurance Company. . Review, analyze and monitor financial information for the Funds to ensure integrity of financial systems and accuracy… more
- TD Bank (Charlotte, NC)
- …clients of TD Bank, NA encompassing banking, custom credit, asset management, securities , investment advisory and insurance) through multiple legal entities (TD Bank ... who are part of the client-facing Distribution teams are both securities -registered and insurance-licensed. Additionally, the Trust Advisors support both personal… more
- Bank of America (Huntersville, NC)
- …Each day, we connect with 67 million clients through a growing specialist workforce and our world-class digital platform. With each relationship and connection, ... goals, join Bank of America and become an investment specialist in one of over 4,000 financial center locations...Stage I (FSA I), your journey begins obtaining your Securities Industry licenses, where you receive dedicated and personalized… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… 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 ... + Working with other advisory team members, the Planning Specialist , and the departmental support personnel to meet the...Five years of sales or advisory experience in the securities brokerage, advisory, or insurance fields Education: + Four-year… more
- City National Bank (Raleigh, NC)
- …Advisers Act of 1940, the Investment Company Act of 1940, Reg 9, ERISA, Securities Acts of 1933 and 1934 inclusive of exemptions under the Acts, FINRA requirements, ... Trust Compliance Professional (CTCP) Or * Certified Fiduciary & Investment Risk Specialist (CFIRS) Or * Certified Public Accountant (CPA) Or * Certified Internal… 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 ... report on the status of the Compliance program + Represents CGO as a specialist on internal or external committees as well as on enterprise-wide Regulatory Change… more
- Bank of America (Charlotte, NC)
- …conducts complex investigations, including fraud committed by external parties, securities fraud, money laundering, or terrorist financing. Responsibilities for this ... services and/or a related government entity + Certified Anti-Money Laundering Specialist (CAMS) **Skills:** + Critical Thinking + Fraud Management + Regulatory… more