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7 accountant broker dealer for the regulatory group jobs in Charlotte, NC

AVP, Internal Audit

LPL Financial LLC 100+ Reviews Charlotte, NC

with a Big 4 or a national CPA firm and financial services (e.g. Broker/Dealer or RIA) * Licenses… to overall develop & execution of group audit plan. * Participate in recruiting, on-boarding & development… Job Board

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AVP, Internal Audit

LPL Financial LLC 100+ Reviews Charlotte, NC

firm and financial services (e.g. Broker/Dealer or RIA) * Licenses/Certifications Required: CPA, CIA… & execution of group audit plan * Participate in recruiting, on-boarding & development of Senior and Staff… Beyond.com

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Tax - Investment Management - Private Equity Senior

Monitor Group 100+ Reviews Charlotte, NC

, investment partnerships, alternative products, family offices, mutual funds, broker-dealers, banks, insurance… works with clients to address a range of critical issues brought on by regulatory changes, competition… Monitor Group

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AVP, Internal Audit

LPL Financial 100+ Reviews Charlotte, NC

or a national CPA firm and financial services (e.g. Broker/Dealer or RIA) Licenses/Certifications Required: CPA… develop & execution of group audit plan Participate in recruiting, on-boarding & development of Senior… LPL Financial

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Audit Manager - Securities

BB&T 100+ Reviews Charlotte, NC

with securities sales and trading, settlement operations, hedging of portfolios, broker dealer, capital markets… of experience as a securities and/or treasury auditor at a significant broker/dealer or financial services firm… Beyond.com

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Senior Internal Auditor

LPL Financial LLC 100+ Reviews Charlotte, NC

will be given for experience in financial services (e.g., Broker/Dealer or RIA) General understanding… Resource for the group over finance (accounting) or operations related issues. Work closely with business… Beyond.com

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Senior Internal Auditor

LPL Financial 100+ Reviews Charlotte, NC

will be given for experience in financial services (e.g., Broker/Dealer or RIA) General understanding… . Technical Resource for the group over finance (accounting) or operations related issues. Work closely… LPL Financial

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