- Coinbase (Charlotte, NC)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- Coinbase (Charlotte, NC)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge,… 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 ... courses, and seminars taken during the program **As an Associate Actuary on our Valuation Team, you could be...with actuarial team members *Receive coaching and mentorship from senior actuarial team members and leaders *Provide coaching to… 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 ... capital market trends, regulatory changes, assess the impact, and collaborate with senior management to incorporate new trends and developments in current and future… 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 ... with business goals and Lincoln's vision. You will collaborate closely with senior architects, stake holders from various units to ensure solutions meet both… more
- TIAA (Charlotte, NC)
- …as well as product development and management. + Experience in wealth and broker / dealer risk management. + Experience working closely with legal, compliance and ... risk management experience within a wealth, trust and/or brokerage business as a senior risk leader or an external consultant. Compliance experience in these areas… more
- Lincoln Financial (Raleigh, NC)
- …**Requisition #:** 75012 **The Role at a Glance** We're excited to bring on a Senior Associate Actuary, Life & MoneyGuard Pricing to play an integral role in ... expansion * Analyze risk & summarize key findings for senior leaders to drive strategic pricing strategies * Collaborate...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… more