13 Results for

Brokerage Jobs in Raleigh, NC

Jobs

Raleigh, North Carolina30+ days ago

New!

Raleigh, NC3 days ago

Full-time

Backed by over 25 years of experience and approximately $7.0 trillion in platform assets, Envestnet is trusted by over one third of financial advisors across leading banks, wealth managers, brokerages, and RIAs. Adherence to and application of Envestnet legal, compliance, risk, business continuity and administrative policy within the role and department(s) including the timely completion of training & awareness, affirmations and testing as requested.

Raleigh, North Carolina12 days ago

The ideal candidate manages the full lifecycle of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals, and works directly with regulatory bodies on regulatory exams and inquiries. Responsibilities: Oversee and execute all FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; manage the licensing onboarding and offboarding process for employees and registered representatives.

Durham, North Carolina23 days ago

$61,000–$250,000 Per Year

Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC(NMIS) (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. As used here, “revenue” includes exclusively First Year and Renewal Commissions, Bonuses, Northwestern Mutual Investment Services, LLC and Northwestern Mutual Wealth Management Company commissions and fees, Strategic Employee Benefits Services commissions, and Expense Allowances.

New!

Raleigh, North Carolina2 days ago

$25.48–$34.13 Per Hour

What You'll Do: The New Business Consultant is instrumental to the success of regional sales offices by building partnerships with our financial professionals, accurately onboarding new client accounts, managing account openings and asset movement requests with broker-dealer, and serving as a point of contact between financial professionals, product partners, and custodians. Posting Window: We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received.

Cary, NC30+ days ago

2025 First Command Financial Services, Inc. is the parent company of First Command Brokerage Services, Inc. (Member SIPC, FINRA), First Command Advisory Services, Inc., First Command Insurance Services, Inc. and First Command Bank. Develop and implement sophisticated financial plans that integrate investment management, retirement income planning, tax strategies, insurance solutions, day-to-day finances, and estate considerations—tailored to the unique needs of military families.

Raleigh, NC30+ days ago

Exception Management and Remediation Planning: Analyze the client impact for each exception found primarily using SQL, and develop SQL based remediation scripts to resolve current and historical issues. Daily Batch Data Reconciliation: Execute daily cash, position, market value, and transaction reconciliations between custodial data feeds and the AdvisorEngine portfolio management system.

Raleigh, North Carolina30+ days ago

Our ideal candidate has a strong, working knowledge of the compliance responsibilities of SEC-registered investment advisors including the requirements applicable to marketing and advertising materials and the development of policies, procedures and controls. You will work with the Director of Compliance to maintain and implement the compliance program for an established federally registered investment advisor (RIA) and registered broker-dealer, and drive adherence with applicable laws, regulations, and regulatory guidance.

Raleigh, NC30+ days ago

Remote

The Manager of Transaction Management oversees all real estate transactions for House Buyers of America, managing both acquisition and disposition deals from contract through closing. Founded in 2001 and operating in 44 states, the company blends decades of real estate expertise with technology-driven operations to deliver speed, certainty, and consistent outcomes.

Cary, NC30+ days ago

Full-time

Using a broad investment product and thought leadership platform along with cutting edge digital technology, you will be front and center representing our brand and interacting with our clients to offer the best investment solutions to meet their financial needs. Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products.

Durham, NC12 days ago

Remote

$70,000–$90,000 Per Year
Full-time

Please note: If this position is posted as either fully remote and/or hybrid, in accordance with company policy, individuals residing within a 50-mile radius of a branch location may be required to work onsite in a hybrid capacity as there may be occasions when on-site presence is necessary to meet specific business needs. This includes guiding team performance, ensuring compliance with established processes and procedures, maintaining service excellence, supporting staff development, and strengthening operational efficiency.

Raleigh, NC30 days ago

Full-time

The vast majority of the nation’s leading banks, the largest wealth management and brokerage firms, and over 500 of the largest RIAs rely on Envestnet’s wealth management platform and solutions to drive business growth, boost productivity, and deliver better financial outcomes for their clients. Previous exposure to other areas of investment management or capital markets, such as through previous work in trading, investment banking, consulting, asset management, hedge funds, or in another investing or finance capacity is not required but is a plus.

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Brokerage Jobs in Raleigh, NC

Registered Brokerage Service Assistant First Citizens Bank

Senior Legal Counsel Envestnet

Senior Compliance Manager CAPTRUST

Financial Advisor Northwestern Mutual

New Business Consultant Principal Financial Group

Senior Financial Advisor – Experienced Professionals First Command Financial Services, Inc.

Portfolio Management Data Operations & Reconciliation Specialist (Contract) AdvisorEngine

Trading and Client Services Representative First Citizens Bank

Compliance Analyst CAPTRUST

Manager, Transaction Management House Buyers of America

J.P. Morgan Wealth Management - Private Client Advisor - Cary, NC JPMorgan Chase Bank, N.A.

Operations Supervisor- Commercial Insurance (Remote) Insurance Office of America

QRG Investment Management Operations Specialist Envestnet

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