- 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
- 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
- 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
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career areas ... . This role within the Macro Sales & Trading Compliance Team is a Business Aligned Compliance ...and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain… more
- Wells Fargo (Charlotte, NC)
- …Consultant and the AI Middle Office Support Team + Ensure adherence to compliance regulations and policies within the Alternative Investments product area + Lead and ... partner on projects teams + Ensure adherence to compliance regulations and policies within Business Growth Strategy functional...of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA … more
- Wells Fargo (Charlotte, NC)
- …for growth opportunities in an assigned market + Ensure adherence to compliance regulations and policies + Perform research within Business Growth Strategy ... the following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7) exam to qualify for immediate registration… more