- Wells Fargo (Charlotte, NC)
- …to Supervise the activities of representatives (eg, financial advisors) to ensure their compliance with FINRA and Securities and Exchange Commission (SEC) rules ... that the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The FiNet Home Office Supervisor understands the… more
- 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
- Wells Fargo (Charlotte, NC)
- …+ Knowledge and understanding of credit risk management + Strong risk management and compliance skills + FINRA registration including Series 7 and 24 (or ... FINRA recognized equivalents) **Job Expectations:** + Registration for FINRA Series 7 & 24 must be completed within a 90 or 180-day time period contingent upon… more
- 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
- TEKsystems (Charlotte, NC)
- …creativity and continuous improvement. + Will work directly with advisors on compliance , registration, and FINRA licensing requirements. What to Expect: + ... support. Requirements: * 1 -2 Years experience in a FINRA regulated environment * Minimum 1 year of recent...securities, and other financial products required. * Knowledge of FINRA , SEC, and State rules and regulations required. *… more
- 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
- Wells Fargo (Charlotte, NC)
- …CFTC and FINRA regulations + Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules + Relevant ... liaise with external and internal customers to comply with all operational, compliance , regulatory and internal policies as part of the client onboarding process.… more
- 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
- Wells Fargo (Charlotte, NC)
- …applicable FINRA , SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and lending activities. ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG)...degree or certification (JD, CRCM, etc.). + Expertise in FINRA , SEC, FRB, and OCC regulations related to broker-dealer… more
- Equitable (Charlotte, NC)
- Advertising Compliance Reviewer ( 250000DU ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** ... guided by principles of inclusivity, flexibility, and connection. Come join the Advertising Compliance team and enjoy working for a leading financial company with an… more