- TIAA (Charlotte, NC)
- …+ Identifies processes or procedures that do not follow the established trade compliance processes and recommends updates to ensure the company remains in ... compliance . **Educational Requirements** + University (Degree) Preferred **Work Experience**...Required; 3 Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 63 **Physical Requirements** +… more
- Wells Fargo (Charlotte, NC)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date… more
- Bank of America (Charlotte, NC)
- …participants who require heightened support to achieve success + Help reinforce compliance , supervision, and provide risk management support of ADP participants and ... with sales and building, leading, managing and coaching a team + Series 7 & 66 (63 and 65) required and Series 9 & 10 or (4, 24, 53 combination).If Series … more
- Vanguard (Charlotte, NC)
- …requires a regulatory license and/or registration (eg FINRA, state, SFC), the SIE, Series 7 and 63/65 or 66 (or equivalent). Certain professional designations may be ... in lieu of 65/66. These will be determined by Compliance based on role-specific duties. + The SIE & Series 7 are required prior to starting with Vanguard. The… more
- Wells Fargo (Charlotte, NC)
- …planning and execution of business development, recruiting, team development, branch administration, compliance , and operations in the branch network + Work with the ... and experience advisor, expense management and other initiatives + Assist in compliance , regulatory, and administrative issues relating to the market + Develop… more
- Wells Fargo (Charlotte, NC)
- …above-benchmark returns consistently while managing risk + Ensure compliance with investment guidelines, regulatory requirements, and fiduciary responsibilities ... management, equity investing, or financial consulting + Successfully completed FINRA Series 65 exam to qualify for immediate registration (or FINRA recognized… more
- Wells Fargo (Charlotte, NC)
- …Expectations:** + Ability to travel up to 40% of the time + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not available ... for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it… more
- Wells Fargo (Charlotte, NC)
- …for transfer upon hire. FINRA recognized equivalents will be accepted + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it ... for transfer upon hire. FINRA recognized equivalents will be accepted + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not… more
- Wells Fargo (Charlotte, NC)
- …will engage in meaningful work, receive mentorship, attend leadership speaker series , and build lasting professional networks. Upon successful completion of the ... governance frameworks. This includes assisting with data quality initiatives, ensuring compliance with internal policies and external regulations. You will learn… more
- Wells Fargo (Charlotte, NC)
- …training, military experience, education **Desired Qualifications:** + Successfully completed FINRA Series 65 exam to qualify for immediate registration (or FINRA ... for ongoing employment in this position. Registration for FINRA Series 65 must be completed within 90 days of...hire. FINRA recognized equivalents will be accepted. + Specific compliance policies may apply regarding outside activities or personal… more