- Truist (Charlotte, NC)
- …Wholesale Banking business including Commercial Banking, Commercial Real Estate, Truist Securities , and Truist Wealth. This role will have ownership and oversight ... may change from time to time. 1. Collaborates and works across the Finance division to ensure integrity of the financials and ensures sound controls and procedures.… more
- Truist (Charlotte, NC)
- …and variances and to help drive business decisions and strategy while ensuring compliance with regulatory guidelines and US GAAP - Oversee and coordinate the ... repeatable processes and data - Review and update policies and procedures for compliance with regulations and corporate polices and standards. - Respond to internal… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... may change from time to time. 1. Collaborate and work across the Finance division to ensure integrity of the financials and ensures sound controls and procedures. 2.… more
- Truist (Charlotte, NC)
- …or filed with the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC), Federal Deposit Insurance Corporation (FDIC) and ... and reporting standards. + Review and update policies and procedures for compliance with regulations and corporate polices and standards. + Support development of… more
- Truist (Charlotte, NC)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life, Health, and Variable insurance… more
- Wells Fargo (Charlotte, NC)
- …Syndicate Middle Office Group as part of Corporate Investment Banking (CIB) Operations division . Learn more about our career areas and lines of business at ... prioritizing skills + Knowledge and understanding of audit, regulatory compliance , or risk management + Knowledge and understanding of...subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- Truist (Mooresville, NC)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7,...eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical,… more
- Truist (Raleigh, NC)
- …financing, corporate finance transactions, concentrated stock/highly structured securities -backed and unsecured facilities. Analyze historical and projected ... financial statements and related internal risk ratings, management of covenant compliance and ongoing collateral monitoring. Have a strong understanding of industry… more
- Wells Fargo (Franklin, NC)
- …National Branch Network as part of the Consumer, Small & Business Banking division . Learn more about the career areas and business divisions at wellsfargojobs.com. ... an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related… more
- Bank of America (Charlotte, NC)
- …The Global Markets Technology group within the Global Banking and Markets Technology division . The group is responsible for delivery of a wide range of technology ... support Middle and Back Office markets operations for the firm, across securities , derivatives, foreign exchange, futures, options and commodities products. You will… more