- 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)
- …and Experience below as you consider this opportunity. **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal… 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 ... this role:** Wells Fargo is seeking a highly skilled Senior Equity Portfolio Manager (Senior Investment Portfolio Manager ) to lead the management of… 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 ... role:** Wells Fargo is seeking a Vice President, Lead Corporate Banking Relationship Manager as part of the Industrials Corporate & Investment Banking team. Learn… 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 ... responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services,… 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