FINRA Jobs in North Carolina
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Search Results - FINRA Jobs in North Carolina
Associate StaffingCharlotte
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...
1 similar job: Des Moines
Ameriprise FinancialCharlotte
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...
1 similar job: Minneapolis
Equitable AdvisorsBrevard
to work with and learn from top performers
• Work Authorization: must be authorized to work in the United States
Training & Development
• FINRA Sponsorship: provided for required FINRA licensing
• Preliminary Employment Period (PEP): comprehensive 120...
Ameriprise FinancialCharlotte
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 AdvisorsCharlotte
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...
QC CapitalCharlotte
Experience securing multimillion-dollar investor commitments.
/n
• Familiarity with custodial platforms, investment due diligence processes, and alternative investment distribution.
/n
• FINRA Series 7, 63, 65, or 82 licenses, where applicable.
/n
/n
WHAT...
Smbc Global Foundation IncCharlotte
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...
PNC Financial Services GroupCharlotte
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...
Fidelity CommunicationsDurham
Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among...
Equitable AdvisorsGreensboro
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 IncCharlotte
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...
Asset MarkCharlotte
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...
Charlotteicims.com
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...
Ember Group ConsultingCharlotteworkable.com
and growing client accounts against a revenue target
• Deep familiarity with how large financial institutions buy consulting: procurement, vendor management, and supplier programs
• Working knowledge of the FS regulatory landscape (OCC, Fed, CFPB, SEC, FINRA...
Equitable AdvisorsRaleigh
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...
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