- Raymond James Financial, Inc. (Raleigh, NC)
- …and executes remediation efforts for any identified issues with minimal guidance/support from Supervisor/ Manager ; assists the Manager or Senior Analyst in ... corrective action plans for any identified issues + Assists Manager or Senior Analyst in the design,...+ Trading life cycle (Orders, Executions, Allocations) + FINRA, SEC and Exchange trading rules, regulations and laws **Skill… more
- Atria Wealth Solutions (King, NC)
- …plan. + Perform various additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on trust and respect with ... and regulations set forth by the credit union, FINRA, SEC and the broker/dealer. + Accountable for meeting annual...the future of wealth management with the open-minded agility, senior -level access, and expert technology to help get you… more
- City National Bank (Charlotte, NC)
- …bank. This role is responsible for (i) with the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk ... internal audit. WHAT WILL YOU DO? * With the guidance of Manager Control Testing/Reporting, responsible for building sustainable processes with appropriate risk… more
- Truist (Charlotte, NC)
- …complex technical and business problems 10. Ability to influence others at senior levels to adopt a new perspective **Preferred Qualifications:** 1. Master's degree ... Azure, Google, Oracle) 6. Experience supporting Capital Markets Regulatory Environment - ( SEC , FINRA, CFTC, NFA, FED) 7. Experience supporting / integrating quant… more
- GovCIO (Raleigh, NC)
- …in Radford, VA and will be a remote position. **Responsibilities** Senior Application Project management experience utilizing agile development best practices. Under ... + Clearance Required: Secret + 3+ years' experience with Dev/ Sec /Ops development strategies. + 3+ years' experience with Agile...Virtual video interview conducted via video with the hiring manager and/or team + Camera must be on +… more