- Wells Fargo (Raleigh, NC)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution of various… more
- Wells Fargo (Charlotte, NC)
- …with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Promotional and Marketing pieces. + Provide ongoing education ... practices Promotional and Marketing approvals + Collaborate with supervision, legal, compliance , and others as needed areas to advocate for Financial… more
- General Atomics (Durham, NC)
- …of the US Government Industrial Security Programs (NISPOM 32 CFR Part 117, DOD 5205.07 series , DOD 5200.01 series , ICD series ) and a complete and thorough ... and contractors on appropriate action(s) to be taken to ensure compliance with the classified security program. This position performs Security responsibilities… more
- Wells Fargo (Charlotte, NC)
- …multi-faceted situations requiring understanding of the function, policies, procedures and compliance requirements that influence and lead broader work team to meet ... and resiliency, particularly around electronic trading. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 180 days of hire… more
- Truist (Charlotte, NC)
- …and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include ... assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements. 2.… more
- Bank of America (Charlotte, NC)
- …learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of ... facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and… more
- Equitable (Charlotte, NC)
- …retirement plan products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and retirement plan ... work experience related to the Product Manager responsibilities with ERISA/Retirement Plan products. + Series 7, Series 66 OR Series 63 and 65. Series 24… more
- Bank of America (Charlotte, NC)
- …facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and ... to senior stakeholders, assisting in identifying potential operational or compliance risks and partners with Global Financial Crimes (GFC)...Laundering Specialists + FINRA licenses including the SIE or Series 7, Series 4, Series … more
- Truist (Charlotte, NC)
- …and coach premier teammates on regulatory priorities and risk and compliance requirements. Provide oversight and direct leadership on multiple concurrent risk, ... compliance , and supervisory projects/programs of varying size up to...4. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 66 or 65/63, and… more
- Wells Fargo (Charlotte, NC)
- …financial accounting, credit analysis, valuation, and modeling. You will also prepare for Series 63, 79, and SIE license exams. Following training, you will step ... involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must be completed… more