- Bank of America (Charlotte, NC)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... Enterprise Financial Risk Capital Risk Manager Charlotte, North Carolina;New York, New York **Job...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- US Bank (Charlotte, NC)
- …and repo trade settlement. + Overnight Funding and intraday liquidity Management for the Broker Dealer (for both the Retail and Capital Markets business units). ... + Accounting Control and stock record management. + Security Master and Pricing. + Regulatory Reporting and Best Execution - TRACE/MSRB/CAT CAIS. + Corporate Actions and Asset Servicing - including Maturity, Dividend, Principal and Interest payment processing… more
- City National Bank (Charlotte, NC)
- …and Bank Secrecy Act/Office of Foreign Assets Control regulations * Prior broker / dealer experience preferred * Experience using Microsoft Word, Excel and ... *FINANCIAL CRIMES ANALYST SENIOR I* WHAT IS THE OPPORTUNITY? Under the...THE OPPORTUNITY? Under the direction of the BSA Risk Manager , this colleague is responsible for carrying out regulatory/compliance… 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)
- …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 (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Role at a Glance** We are excited to bring on a **Director, Product Manager ** in our Retirement Plan Services (RPS) Agile Product Management team to work hybrid… more
- Bank of America (Charlotte, NC)
- …entities including but not limited to BAC, BANA, BAC's Non-Bank Subsidiaries and the US Broker Dealer . GRR is seeking a Product Delivery Lead to help drive GFC's ... Global Regulatory Reporting Manager Charlotte, North Carolina **Job Description:** At Bank...and interpersonal) including tact, diplomacy and ability to influence senior executives + Integrity, maturity, dependability and positive professional… more
- Wells Fargo (Charlotte, NC)
- …partnering and collaborating with product, risk and operations teams across the broker - dealer and Client Relationship Group (CRG) + Accredited Investment ... **About this role:** Wells Fargo is seeking a Lead IRA Product Manager to join the Investment Product group within Wealth & Investment Management Investment… 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 ... for assigned area(s) of responsibility, assesses the impact, and collaborates with senior management to incorporate new trends and developments in current and future… more
- Lincoln Financial (Raleigh, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... for assigned area(s) of responsibility, assesses the impact, and collaborates with senior management to incorporate current trends and developments in current and… more