- Wells Fargo (Charlotte, NC)
- …with a sense of personal accountability and urgency for achieving results + FINRA SIE, Series 63, and Series 79 exams must all be successfully completed within ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- TD Bank (Charlotte, NC)
- …thought leadership + Is responsible for all standards, supervision and regulatory compliance and oversight of all regulated activities (SEC, FINRA) + President of ... US Broker-Dealer ( Series 24) overseeing the securities business activities of all...business activities of all RIA and BD personnel ensuring compliance with Federal, State, SRO and Firm policies and… more
- Veterans Affairs, Veterans Health Administration (Durham, NC)
- …to MR Safety. f. MRSO maintains all aspects of MRI safety regulatory compliance . g. Responsible for implementing and compliance with regulatory requirements in ... to lower grade, or reassigned within the GS-0647 occupational series . Any employee initially retained in this manner who...initially retained in this manner who leaves this job series loses protected status and must meet the full… more
- USAA (Charlotte, NC)
- …thorough model validation activities and ensuring adherence to written risk and compliance policies and procedures. The role requires strict independence from model ... challenger models through predictive modeling, machine learning, deep learning, time- series modeling/forecasting, stress testing, heuristic models, actuarial models, simulation,… 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 ... * Bachelor's Degree Required * FINRA: Maintains proper licenses including Series 7, Series 66, the Securities Industry Essentials (SIE) Exam as applicable Life,… more
- First Horizon Bank (Charlotte, NC)
- …and identify the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design adequacy in complex ... and effectiveness of internal controls, risk management practices, and regulatory compliance associated with Treasury and enterprise risk functions. + Perform… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... services. + Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in** + Operating client relationship manager...that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the… more
- NetApp (Morrisville, NC)
- …+ Experience with: + NetApp AFF and ASA storage systems + Cisco UCS X- Series and C- Series compute platforms + Cisco Nexus switching and fabric interconnects ... NetApp is firmly committed to Equal Employment Opportunity (EEO) and to compliance with all federal, state and local laws that prohibit employment discrimination… more
- Vanguard (Charlotte, NC)
- …+ High school, associate degree, or bachelor's degree. + This job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA, state, SFC). These ... will be determined by Compliance based on role-specific duties. How we will help:...a financial background to pass their SIE and FINRA Series 7 & 63. After joining corporate orientation, you… more
- Vanguard (Charlotte, NC)
- …degree or equivalent combination of experience, preferred. + This job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA, state, SFC). These ... will be determined by Compliance based on role-specific duties. How we will help:...continuous support needed to pass the SIE and FINRA Series 7 & 63. + Access to learning and… more