- Vaco by Highspring (Fort Mill, SC)
- …Accounting Manager will also mentor team members, support SOX compliance , and contribute to key process improvement initiatives within the Controllership ... of ERP systems, internal controls, and audit procedures Financial services and/or broker - dealer experience strongly preferred Vaco by Highspring values a diverse… more
- Coinbase (Charlotte, NC)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- TD Bank (Charlotte, NC)
- …Banking.** **As a member of the US Wealth Compliance Department, the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with ... + **Participate in other initiatives as needed** **Job Summary:** The ** Compliance Administration Oversight & Reporting Manager ** ensures regulatory adherence… more
- TD Bank (Charlotte, NC)
- …and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and… more
- US Bank (Charlotte, NC)
- …and repo trade settlement. + Overnight Funding and intraday liquidity Management for the Broker Dealer (for both the Retail and Capital Markets business units). ... background in capital markets operations, with a focus on fixed income settlements, dealer , repo and firm funding activity. + Leading daily operations of the… more
- Equitable (Charlotte, NC)
- …other retirement related markets. + Possessing a general understanding of overall Broker / Dealer investment and insurance products. + Performing due diligence ... Equitable Advisors, Senior Product Manager - Retirement Plans ( 250000FY ) **Primary...products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and… more
- City National Bank (Charlotte, NC)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... *SR. AUDIT MANAGER - TREASURY/FINANCE* WHAT IS THE OPPORTUNITY? Responsible for...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... institutional loan and high yield transactions + Receive direction from a manager and exercise independent judgment, while developing understanding of compliance … more
- Truist (Charlotte, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... + 3 to 5 years of experience in brokerage with an emphasis in compliance , operations or supervisory function + Strong written and oral communication skills and… more
