- Wells Fargo (Charlotte, NC)
- …including flash notes, reports, initiations, decks, models and coverage launches for compliance with FINRA rules and department policies, as well as for clarity ... completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and… more
- Wells Fargo (Charlotte, NC)
- …developing the knowledge to understand function, policies, procedures, and compliance requirements + Cultivate a comprehensive understanding of product strategy, ... Experience assessing the adequacy of policies, procedures and processes, including compliance and operational controls within a large, complex organization + Ability… more
- Wells Fargo (Charlotte, NC)
- …models and reporting solutions to serve fraud strategy, risk, operations, and compliance stakeholders. + Facilitate alignment between internal fraud, compliance , ... + Experience in financial services, particularly in fraud, risk, or compliance . + Familiarity with data governance, privacy, and regulatory frameworks. +… more
- Wells Fargo (Charlotte, NC)
- …regulatory obligations. + Evaluate and validate security control designs to ensure compliance , effectiveness, and alignment with Zero Trust principles. + Lead secure ... Monitoring & Incident Response** + Develop and manage strategies for continuous compliance monitoring and threat detection. + Lead complex security incident response… more
- Wells Fargo (Charlotte, NC)
- …and + Working closely with analysts and internal partners to manage internal compliance , booking, and funding processes. Manage Day to day job responsibilities for ... facility modifications + Supporting team members in collateral analysis and compliance tracking + Monitoring financial performance and internal credit ratings of… more
- Wells Fargo (Charlotte, NC)
- …integration of third-party and custom apps, including agent-based solutions + Ensure compliance with security and governance policies in all Teams applications and ... + Document deployment, patching, and integration processes for audit readiness and compliance + Provide technical leadership and mentorship to junior engineers +… more
- Wells Fargo (Charlotte, NC)
- …and SEC Research and advertising rules + Experience with Wells Fargo's Compliance application (AdTrax) + Conflict management and decision-making skills + Strong ... FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. Additional… more
- Wells Fargo (Charlotte, NC)
- …products and services. + Support company driven audits, gather evidence of compliance to company policies, and drive product enhancements, when needed, to remediate ... mitigation strategies. + Collaborate across Wells Fargo teams, including compliance , security architecture and security evaluation teams to ensure cryptographic… more
- Wells Fargo (Charlotte, NC)
- …to partner with GWR business leaders across the company to tackle compliance needs and develop AI products leveraging custom, open-source, and proprietary AI ... unique challenges. + Deliver solutions with consideration of industry dynamics, compliance , regulatory impact, and risk management. + Develop and monitor product… more
- Wells Fargo (Charlotte, NC)
- …indicators and identifies improvement opportunities while ensuring all regulatory and compliance needs are met **Required Qualifications:** + 4+ years of Product ... completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and… more