- Truist (Charlotte, NC)
- …Purpose: Mitigate risk for the firm from financial, reputation and regulatory 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. Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer. **Please note: This role can be based anywhere in the Truist footprint.… more
- Truist (Charlotte, NC)
- …States of America) **Please review the following job description:** The Central Supervisor 2 will work closely with Truist Financial Advisors, CSAs, Regional ... following regulatory policy as a Registered Principal for the firm. The Central Supervisor 2 role will perform quality control review and identify training needs.… more
- First Horizon Bank (Charlotte, NC)
- …and annual reports on business unit operations verses budgetary goals for supervisor Assists subordinates in resolution of difficult and or past due accounts ... ability, supervising two or more subordinate employees. + Willingness to acquire Wealth Management licenses is strongly encouraged and may be required as indicated… more