FINRA Jobs in Charlotte
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Search Results - FINRA Jobs in Charlotte
Associate Staffing-Charlotte
Who We Are
A Fortune 500 financial services corporation, with a heritage spanning nearly a century and a half, specializes in a comprehensive suite of investment, insurance, and retirement solutions. Catering to a diverse clientele that ranges from...
Ameriprise Financial-Charlotte
as appropriateRequired QualificationsJuris Doctor degree from an accredited law school.Strong expertise in the Investment Adviser's Act of 1940, state securities and investment management statutes and regulations (i.e. Regulation Best Interest and FINRA), and applicable...
Equitable Advisors-Charlotte
entrepreneurial spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
Ameriprise Financial-Charlotte
About Our CompanyWe’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million...
Equitable Advisors-Charlotte
spirit with a desire to positively impact others' lives
• Collaboration: ability to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided...
Smbc Global Foundation Inc-Charlotte
Word, Excel) for documentation and presentation development
Regulatory & Compliance Knowledge
• Deep understanding of banking regulatory requirements related to record retention (FINRA, SEC, OCC, FDIC, etc.)
• Knowledge of legal hold processes...
QC Capital-Charlotte
Experience securing multimillion-dollar investor commitments.
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• Familiarity with custodial platforms, investment due diligence processes, and alternative investment distribution.
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• FINRA Series 7, 63, 65, or 82 licenses, where applicable.
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WHAT...
Smbc Global Foundation Inc-Charlotte
candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire...
PNC Financial Services Group-Charlotte
of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals...
Asset Mark-Charlotte
Advisers Act of 1940, Rule 482 of the Securities Act of 1933 and relevant FINRA advertising rulesOwn compliance marketing review through marketing workflow systemOwn compliance marketing guide, related policies and procedures, and develop/update...
Charlotte
findings, and coordinate appropriate follow-up and remediation activities.
• Oversee, prepare, and/or contribute to regulatory filings (e.g., 13F, 13G, ADV, PF, FINRA, and state requirements).
• Assist with regulatory examinations, audits, due diligence...
icims.com -
Equitable Advisors-Charlotte
Four-year college degree preferred but not required
• Complete 12 months as entry level Financial Professional meeting requirements including licensing: State Life and Health, SIE, FINRA Series 7, 66 and have a developed client base
• Must , pass FINRA...
Ameriprise Financial-Charlotte
New York, or Charlotte.Key Responsibilities:Regulatory AdvisoryAdvise on U.S. regulatory frameworks including Dodd-Frank, SEC and CFTC rules, Investment Advisers Act, FINRA and state securities laws.Monitor regulatory developments across derivatives...
Sterling Capital Management LLC-Charlotte
and Responsibilities
• Review and approve marketing materials, advertisements, presentations, websites, social media content, and client communications for compliance with the SEC Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940), FINRA...
Ameriprise Financial-Charlotte
to annuitiesStrong knowledge of FINRA, SEC and other regulatory bodies' rules relevant to the applicable product lines Visa SponsorshipApplicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment...
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