- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Channels + Other lines of business include - WIM Advisory & Client Experience, The Private Bank ,WIM...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange… more
- Navy Federal Credit Union (Matthews, NC)
- …an internal pipeline for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures + Establish, maintain, ... processes comply with Navy Federal standards and FINRA, NASAA, SEC and other regulatory agencies + Prepare standard/special reports required by FINRA, NASAA and SEC,… more
- Truist (Raleigh, NC)
- …teams, second line of defense risk partners and other applicable areas of the bank to execute on risk program deliverables. Execute and support risk program and ... routine CM engagement activities. + Support delivery of audit preparedness guidance and advisory with ET leaders/SMEs and Risk Advisors to apply lessons learned from… more
- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Administrative Assistant** in Corporate & Investment Banking. **Corporate & Investment Bank (CIB)** delivers a comprehensive suite of banking, capital markets and… more
- Principal Financial Group (Charlotte, NC)
- …and regulatory environments is highly valued. + Experience working with regulatory officials and compliance professionals + Proven ability to operate ... leadership team. Collaborate with a range of governance and advisory groups, including the 40-Act Mutual Fund Board, committees,...vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is… more
- Truist (Charlotte, NC)
- …Truist Wealth established processes and procedures and maintains appropriate legal, operating and regulatory controls to manage risk and compliance . * Engage and ... Sports & Entertainment to maintain a knowledge-based resource both internally for the bank and externally for the clients within the SEG vertical. * Using sound… more