- Truist (Charlotte, NC)
- …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 **General Description of ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses ( Series… more
- TEKsystems (Raleigh, NC)
- …outside of primary worksite" Success Track Intake Manage Intake requirements to ensure compliance Manage required meeting series to completion of Intake Phase w/ ... handoff to LoE Phase Success Track Delivery Drive Delivery Steering teams based on Intake requirements Manage Delivery LoE & Steering meetings to ensure: Resource funding and allocation On-time delivery of Intellectual Capital (IC) Delivery Reporting for first… more
- Alight (NC)
- …(https://careers.alight.com/us/en) . Join a dynamic team working directly with the Chief Compliance Officer to build and maintain a best-in-class compliance ... Investment Advisory and Broker-Dealer sales practices. You'll provide comprehensive compliance support, proactively identifying and addressing risks, and partnering… more
- Guardian Life (Raleigh, NC)
- …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... on the customer. We do this through leveraging a series of core capabilities, which includes accountability, interpersonal effectiveness,...Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance … more
- Coinbase (Charlotte, NC)
- …and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional Product Group to develop effective ... compliance programs to meet Coinbase's regulatory obligations across the...supporting a retail (fully disclosed) introducing broker. * JD, Series 7, Series 24. * Experience working… more
- PNC (NC)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, within PNC's Retail Organization you will be based in Pittsburgh, ... PA; Cleveland, OH or within PNC's footprint. The Compliance Program Advisor will be supporting the Risk, Change,...and or Broker Dealer experience * FINRA regulatory licenses ( series 24 or 53) are preferred for this role… more
- PNC (Charlotte, NC)
- …industry and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. Provides coaching to other team members. ... Required Certification(s) **Licenses** Public Finance & Healthcare - SIE, Series 52 & 63 (79 optional) within 180 days...employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7, and 63 within… more
- PNC (Charlotte, NC)
- …of industry and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. PNC Employees take pride in our ... Required Certification(s) **Licenses** Public Finance & Healthcare - SIE, Series 52 & 63 (79 optional) within 180 days...employment. DCM (Loan Syndications & Equipment Finance) - SIE, Series 79, Series 7, and 63 within… more
- Wells Fargo (Cary, NC)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA recognized… more
- Wells Fargo (Mooresville, NC)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... 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