- Coinbase (Charlotte, NC)
- …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
- TD Bank (Charlotte, NC)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… 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 (Charlotte, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk). Additionally, the position is responsible for… 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 ... within the Corporate Finance organization. We are seeking a self-motivated and strategic Manager to help lead our Finance Systems Strategy team. In this role, you… 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 ... CIO team is seeking an experienced Sr. Director of Operations , Execution, and Risk. This person would ensure that...to evaluate appropriate fund selection for specific platforms and manager /fund selection process. + Ability to review, analyze, and… more
- TD Bank (Charlotte, NC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... electronic communications. This role works closely with the supervision, operations , compliance, and risk departments of the US Wealth...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Lincoln Financial (Greensboro, NC)
- …and maintain security of monitoring systems including SolarWinds, SCOM (System Center Operations Manager ). **What you'll be doing** + Lead engineering and ... and maintain security of monitoring systems including SolarWinds, SCOM (System Center Operations Manager ) + Maintain knowledge on current and emerging… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… more
- TD Bank (Charlotte, NC)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... of TD's US intraday liquidity and collateral monitoring across combined US operations . Duties include analysis of TD's liquidity and collateral positions and… more