- 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
- US Bank (Charlotte, NC)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...Corporate and Commercial Banking business lines The Senior Audit Manager also has strong knowledge of Compliance … more
- TD Bank (Charlotte, NC)
- …required (CIA and CRCM preferred) + Experienced people manager , leading a compliance audit team + Experience auditing securities, broker - dealer and/or ... **Line of Business:** Audit **Job Description:** The Senior Audit Manager leads a team of audit professionals and provides...the banking industry that impact assigned area, specifically securities, broker - dealer , and/or wealth compliance +… more
- TD Bank (Charlotte, NC)
- …team of enthusiastic colleagues dedicated to setting new industry standards. **The US Compliance - Regulatory Issue Management Manager is responsible for:** + ... Experience below as you consider this opportunity._** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and… 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 ... Fargo. **About this role:** Wells Fargo is seeking a **Markets Innovation/Equities Product Manager , Vice President** (Lead Securities Product Manager ) in CIB to… more
- Wells Fargo (Charlotte, NC)
- …hands-on product management + Collaborate with internal teams including broker / dealer , Private Bank, consulting, marketing, legal, compliance , and operations ... **About this role:** Wells Fargo is seeking a Lead Product Manager for the Alternatives Investments Group as part of Wealth and Investment Management. Learn more… 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 (HYBRID or REMOTE) (...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 ... **About this role:** Wells Fargo is seeking a Commodities Trading & Sales Products Manager (VP Level) to join our Product Management team. **In this role, you… 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 ... reviews and product and platform alignment + 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