Broker Dealer Jobs in Charlotte
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Search Results - Broker Dealer Jobs in Charlotte
Social Capital Resources LLC-Charlotte
Our client is seeking an experienced Compliance Manager with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's...
resume-library.com -
Dexian-Charlotte
Job Summary:
Dexian is seeking a Oracle Developer for an opportunity with a client located in Charlotte, NC.
Responsibilities:
• Design & Develop database solutions & enhancements in automating regulatory report generation process for Broker...
mindmatch.ai -
Aloden LLC-Charlotte
Develop database solutions & enhancements in automating regulatory report generation process for Broker Dealer business.
Performance tuning of the existing application to enable fast and reliable intraday activities for the end users.
Active contribution...
resume-library.com -
Northwestern Mutual-Charlotte
success.
Who we are?
• Unsurpassed Financial Strength, Financial Ratings the highest in any industry
• Fortune’s 2021 Worlds Most Admired Companies, #1 in our class
• Top 5 Independent Broker-Dealer
• Ranked 90 on the esteemed 2020 FORTUNE 500 list...
mindmatch.ai -
Synergy RIA Compliance Solutions-Charlotte
working for a Registered Investment Adviser or Broker-Dealer;
• In-depth knowledge of RIA regulations, SEC rules, and industry best practices of compliance and risk management;
• Strong analytical skills with the ability to assess complex regulatory...
trinethire.com -
CyberCoders-Charlotte
are in numerous industries; broker-dealer, construction, employee benefit plans, energy and oilfield services, healthcare, high net worth family groups, manufacturing, non-profit, private equity, real estate, wholesale distribution, and many more.
With a staff...
mindmatch.ai -
Charlotte
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
NM and its subsidiaries...
icims.com -
Matlen Silver-Charlotte
short processing windows.
• Ability to handle and resolve very critical regulator inquires within very aggressive timeframes.
• Ability to support a very large number of global data feeds/data sets from broker/dealers.
Oracle database, experience...
mindmatch.ai -
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