- 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
- PNC (Raleigh, NC)
- …PNC's Enterprise BSA/AML & Sanctions organization in Independent Risk Management to support Broker Dealer . The incumbent will lead a team providing Independent ... BSA/AML Risk Management oversight and governance of our broker dealer business segments, which are inclusive of broker -dealers, private equity and registered… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... relationships include Cuso Financial Services, LP, investment and insurance product vendors and other professionals as the need may...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… 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