- Wells Fargo (Charlotte, NC)
- …pivotal to the success of strategic initiatives Front Office Sales and Trading applications, and is designed for engineers who thrive in high-performance, ... including CI/CD automation and cloud deployment strategies + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
- Truist (Charlotte, NC)
- …items by ensuring that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal policies and procedures. ... to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval. Utilize multiple systems to… more
- Wells Fargo (Charlotte, NC)
- …markets and advisory solutions, including a full complement of sales, trading and research capabilities, to corporate, government and institutional clients. We ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Wells Fargo (Charlotte, NC)
- …investment banking, equity and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Wells Fargo (Charlotte, NC)
- …investment banking, equity and fixed income solutions including sales, trading , and research capabilities to corporate, commercial real estate, government, ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- CBRE (Raleigh, NC)
- …equity compensation program. Responsible for the day-to-day equity awards, compliance with internal policies and external regulations, employee communications, and ... and Finance to ensure correct reporting, tax withholding, and compliance with accounting and tax regulations). + Assist with...+ Partner with Legal to monitor and maintain insider trading windows, blackout periods, and 10b5-1 plans. + Participate… more
- Nuveen Investments (Charlotte, NC)
- …at such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading , and other internal ... and educate internal sales teams on the asset class. + Ensuring compliance with regulations: Collaborating with Compliance to streamline existing review… more
- Coinbase (Charlotte, NC)
- …the application of ASC 606/IFRS 15 to complex crypto-native transactions (eg, spot trading fees, staking rewards, NFT royalties, etc.). * Develop and maintain robust ... services. * Ensure accurate and timely recording of revenue transactions in compliance with GAAP/IFRS and company policies. * Oversee month-end and quarter-end close… more
- Bank of America (Charlotte, NC)
- …Review and challenge key capital management activities, including Fundamental Review of the Trading Book (FRTB) and Basel 3 market risk rule implementation + Review ... and performing review and challenge of regulatory rule interpretations and rule compliance documentation + Develop and demonstrate acumen for the identification of… more
- Principal Financial Group (Charlotte, NC)
- …solutions that enable strategic data protection objectives, reduce risk and ensure compliance with policies, standards and regulations. + Our ideal candidate can ... Leverage data and analytics to create metrics that demonstrate compliance and highlight risk. + Build strong partnerships across...to personal and business conduct as well as personal trading activities for you and members of your household.… more