- Bank of America (Charlotte, NC)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... Senior Audit Manager Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To… more
- Equitable (Charlotte, NC)
- Equitable Advisors, Senior Product Manager - Retirement Plans ( 250000FY ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED ... other retirement related markets. + Possessing a general understanding of overall Broker / Dealer investment and insurance products. + Performing due diligence… more
- Guardian Life (Raleigh, NC)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue...an insurance-affiliated broker / dealer as a plus. + Prior examination,… more
- TD Bank (Charlotte, NC)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... individual circumstances.** **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- City National Bank (Raleigh, NC)
- …analyze results of testing performed, and effectively communicate audit results to the Senior Audit Manager /Director and senior management in meetings, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital… more
- City National Bank (Raleigh, NC)
- …AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth ... Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets,… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... within the Corporate Finance organization. We are seeking a self-motivated and strategic Manager to help lead our Finance Systems Strategy team. In this role, you… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74708 **The Role at a Glance** The Sr. Strategic Supplier Manager - IT and Procurement Transformation will provide subject matter expertise &… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We are excited to bring on a Manager to join our Dedicated Social Security team supporting...of responsibility, assess impact, and collaborate with peers and senior management to incorporate new trends and developments in… more