• HNW Charlotte Complex Director

    Wells Fargo (Charlotte, NC)
    …the culture to drive employee engagement and growth in a branch or a series of branches + Responsible for overall management of branch(es) including management of ... partnerships with all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management + Execute on… more
    Wells Fargo (10/16/25)
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  • Premier Growth Director

    Wells Fargo (Charlotte, NC)
    …markets requiring solid understanding of Premier Channel policies, procedures, and compliance requirements that influence and lead team to meet business objectives, ... following: work experience, training, military experience, education + Successfully completed FINRA Series 7 Series exam to qualify for immediate registration… more
    Wells Fargo (09/05/25)
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  • Internal Market Growth Consultant

    Wells Fargo (Charlotte, NC)
    …to deliver training, education, and strategic support to advisors. + Ensure compliance with regulatory requirements and internal policies across all activities. + ... experience, military service, or education. + Successfully completed FINRA Series 7 Series exam to qualify for...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (09/05/25)
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  • Supervisory Control Specialist

    Wells Fargo (Charlotte, NC)
    …and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with ... + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to… more
    Wells Fargo (11/01/25)
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  • Brokerage Support Manager

    Wells Fargo (Charlotte, NC)
    …leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 and 63 exams or 7, 9/10 and 66 examinations ... immediate FINRA registration **Desired Qualifications:** + FINRA registration including Series 65 (or FINRA recognized equivalents) + FINRA registration including… more
    Wells Fargo (10/30/25)
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  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Charlotte, NC)
    …and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures. ... for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account management....with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses ( Series… more
    Truist (10/06/25)
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  • Market Growth Director

    Wells Fargo (Charlotte, NC)
    …work experience, training, military experience, education + Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized ... equivalents) **Desired Qualifications:** + Successfully completed FINRA Series 63 and 65 (or 66) exams to qualify...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (10/28/25)
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  • CAT/Cais Reporting Analyst -Remote Flexibility…

    Raymond James Financial, Inc. (Raleigh, NC)
    …regulatory reporting, specifically with **CAT** and **CAIS** , to support our compliance operations and ensure accurate trade and account data submissions. **_A ... Analyst_ ) plays a key role in supporting the firm's compliance with non-financial regulatory reporting requirements. Leveraging advanced knowledge and experience,… more
    Raymond James Financial, Inc. (09/30/25)
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  • Supervisory Control Associate

    Wells Fargo (Charlotte, NC)
    …responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, ... (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations + Work closely with… more
    Wells Fargo (10/25/25)
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  • Supervisory Control Associate

    Wells Fargo (Charlotte, NC)
    …responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, ... **www.wellsfargojobs.com** **In this role, you will:** + Participate or conduct compliance , supervision, control reviews, administration and technology + Design risk… more
    Wells Fargo (10/31/25)
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