- Wells Fargo (Charlotte, NC)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance . **In this role, you will:** ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG)...in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with… more
- Vanguard (Charlotte, NC)
- …seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits, ... of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and… more
- PNC (Raleigh, NC)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- Huntington National Bank (Charlotte, NC)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations, compliance or audit with a ... enhanced due diligence procedures. + Manage the Sanctions Program to ensure compliance with the US Treasury Department's Office of Foreign Asset Control (OFAC)… more
- Guardian Life (Raleigh, NC)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Wells Fargo (Charlotte, NC)
- …of financial services industry experience + Experience in branch office supervision, compliance , broker - dealer governance, sales supervision + Experience ... that the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The FiNet Home Office Supervisor understands the… more
- Equitable (Charlotte, NC)
- …+ 7 years of established compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. + ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...your potential? Reporting directly to the Equitable Financial Chief Compliance Officer, the role is responsible for maintaining, developing… more
- Wells Fargo (Charlotte, NC)
- …Act, SEC, CFTC and FINRA regulations + Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules ... external and internal customers to comply with all operational, compliance , regulatory and internal policies as part of the...client service while ensuring all internal risk and external compliance standards and requirements are fully met + Gather… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more