• SMBC (Charlotte, NC)
    …presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the ... Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance,… more
    DirectEmployers Association (08/28/25)
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  • Compliance Program Advisor…

    PNC (NC)
    …of Defense Regulatory Compliance team. The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience ... valued and have an opportunity to contribute to the company's success. As a Compliance Program Advisor , within PNC's Retail Organization you will be based in… more
    PNC (10/31/25)
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  • Audit Sr Advisor - Corporate

    First Horizon Bank (Charlotte, NC)
    …responsible for completing audit engagement assignments with minimal supervision. The Audit Sr. Advisor is expected to: + understand and identify the full range of ... risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design adequacy in complex business processes, + perform… more
    First Horizon Bank (09/27/25)
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  • Financial Advisor Trainee - PCG (Charlotte,…

    Raymond James Financial, Inc. (Charlotte, NC)
    …distance learning, apprenticeship and training at the firm's international headquarters, the Advisor Mastery Program (AMP) offers a comprehensive education for ... the next generation of Raymond James Financial Advisors. The program takes a holistic approach by incorporating training for...Manager, and/or a team of Financial Advisors, the Financial Advisor Trainee will learn to build an individual practice.… more
    Raymond James Financial, Inc. (08/08/25)
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  • Digital Risk and Controls Advisor

    First Horizon Bank (Charlotte, NC)
    …site at location listed in job posting. **Summary** : The Business Risk and Controls Advisor sits in the first line of defense and is responsible for executing risk ... first line of defense procedures that align with risk program and policy requirements. * Provide ongoing risk guidance,...reporting that provides a holistic view of business unit compliance with risk programs, identification of top business unit… more
    First Horizon Bank (09/18/25)
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  • Long-term Growth Strategy Advisor…

    Humana (Raleigh, NC)
    …at the center of everything it does. The Long-term Growth Strategy Advisor (Distribution) provides data-based strategic direction to identify and address business ... support for the Enterprise Growth vertical. The Long-term Growth Strategy Advisor 's work involves complex assignments performed without direction where the analysis… more
    Humana (10/30/25)
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  • Tax Manager - Banking & Capital Markets

    Deloitte (Charlotte, NC)
    …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... Services group, you will provide federal tax consulting and compliance services to a clients in the banking and...Attorney + Enrolled Agent + Certifications: + Chartered Financial Advisor (CFA) + Certified Financial Planner (CFP) + 5+… more
    Deloitte (10/25/25)
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  • Business Unit Risk Specialist - FINRA - New York,…

    Truist (Charlotte, NC)
    …risks and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities ... compliance with applicable regulations, policies, procedures and risk program requirements. 2. Partner with first- and second-line defense teammates across… more
    Truist (10/22/25)
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  • Head of Wealth Product, Investment Strategy…

    TD Bank (Charlotte, NC)
    …Corporate & Personal Trust, Centralized Investment Management, Portfolio Management, and Capital Markets. The role includes leading as President of TD Private ... Client Wealth, LLC. TD Bank's Registered Investment Advisor and Broker Dealer. **Depth & Scope:** + Provides...+ Is responsible for all standards, supervision and regulatory compliance and oversight of all regulated activities (SEC, FINRA)… more
    TD Bank (10/22/25)
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  • Wealth Management Client Specialist

    First Horizon Bank (Raleigh, NC)
    …The Wealth Management Client Specialist will be actively involved in supporting advisor (s) through a full service platform. Assists in achievement of sales revenue ... requests, address changes, etc. * Serves as liaison and between sales team, compliance , and other business lines throughout the firm * Manages account opening… more
    First Horizon Bank (10/29/25)
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