• Manager, Third-Party Risk Manager,…

    TD Bank (Charlotte, NC)
    …related to third-party risk management (eg, OSFI, OCC, FFIEC, CFPB, Fed, FINRA ).** + **Experience in compliance risk assessments, due diligence, issue ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
    TD Bank (08/01/25)
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  • Senior Compliance Analyst - Park Avenue…

    Guardian Life (Raleigh, NC)
    …will conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA Rule 3110 and, in certain circumstances, various ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
    Guardian Life (06/14/25)
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  • Senior Risk Advisory Manager Public Finance…

    Truist (Charlotte, NC)
    …and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and ... + Master's degree in finance or equivalent science/academic field. + Strongly preferred: FINRA Series 7, 52, 53 + Strong knowledge of trading floor rules and… more
    Truist (07/19/25)
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  • Wealth Regional Supervisor

    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...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
    Truist (08/02/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Charlotte, NC)
    …Bachelor's degree in Finance or Business. + 7 or more years of regulatory, compliance or supervisory experience + FINRA Series 4 + Bilingual **General ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
    Truist (07/08/25)
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  • Chief Compliance Officer

    Equitable (Charlotte, NC)
    …Overseeing and managing the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/ FINRA registration processing. The ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...compliance level role. * Demonstrated understanding of SEC, FINRA and State Insurance laws, rules and regulations. *… more
    Equitable (07/15/25)
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  • Lead Compliance Officer - Personal Account…

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD) Team in managing and delivering employee ... enhancing program effectiveness, mentoring team members, and promoting a culture of compliance and accountability. Success in this role will be measured by… more
    Wells Fargo (07/31/25)
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  • Compliance Director - Regulatory Inventory…

    Wells Fargo (Charlotte, NC)
    …lead the governance and execution of the firm's regulatory inventory of Major Compliance Requirements (MCRs). This role blends compliance leadership with Agile ... the firm in regulatory exams and industry engagements. **Key Responsibilities:** ** Compliance & Regulatory Oversight** + Manage and maintain the regulatory inventory… more
    Wells Fargo (07/31/25)
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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 ... training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65)...This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is… more
    Wells Fargo (07/30/25)
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  • Lead Compliance Officer - Corporate…

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing topics across...for Visa sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing… more
    Wells Fargo (08/02/25)
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