- Equitable (Charlotte, NC)
- Product Manager , Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** ... platform of investment products and advisory solutions. Responsibilities of the Product Manager include: + Responsible for the initial and ongoing due diligence… more
- Truist (Charlotte, NC)
- …the day-to-day supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Provide oversight and support for ... will perform supervisory functions that are routinely associated with those of a retail broker / dealer to engage with advisors in the management of risks and… 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 ... key metric and plan variances and related information + May provide cost and product analyses + Develops analyses of performance and predictive data + Compiles and… more