- Coinbase (Charlotte, NC)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- Wells Fargo (Wilmington, NC)
- **About this role:** Wells Fargo is seeking a Senior Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Coinbase (Charlotte, NC)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge,… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... of investments in real estate partnerships and/or fund investments and assist more senior asset managers with their portfolio. + Identify and analyze issues, and… more