- SMBC (Charlotte, NC)
- …**Role Description** We are searching for a QA Lead for the Compliance Back Office Testing team **Role Objectives** * Continual discussions with Development ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- PNC (Charlotte, NC)
- …and administering a budget. Manages activities including coordination with legal, compliance , finance, risk and other key partners. + Responsible for performance ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Truist (Charlotte, NC)
- …preparation, review, and monthly submission of other regulatory reports and filings - eg FINRA FOCUS II report; Form SIS, Form SSOI, Form OBS, Form Custody for ... requesting clarification of existing policies as required 25. Responsible for monitoring compliance with Corporate accounting policies in the areas of the LOB that… more
- PNC (Raleigh, NC)
- …Manager Sr, you will be within PNC's Internal Audit organization, supporting the Compliance /2 LoD Audit team. This position is primarily based in a PNC location. ... and deliver business value and insights **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- SMBC (Charlotte, NC)
- …designing, developing & deploying cloud data solutions for risk, regulatory, finance & compliance projects and be at the forefront of on-prem to cloud migration ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Vanguard (Charlotte, NC)
- …What you'll need: + This job requires a regulatory license and/or registration (eg FINRA , state, SFC), the SIE, Series 7 and 63/65 or 66. Certain professional ... designations may be used 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… more
- SMBC (Charlotte, NC)
- …designing, developing & deploying cloud data solutions for risk, regulatory, finance & compliance projects and be at the forefront of on-prem to cloud migration ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- Vanguard (Charlotte, NC)
- …+ This job requires a Series 7, 63 or 66 regulatory license and/or registration (eg FINRA , state, SFC) as well as the SIE or ability to acquire once in the role. ... These will be determined by Compliance based on role-specific duties. + 7+ years of financial advice, financial planning, book of business management and… more
- Principal Financial Group (Raleigh, NC)
- …+ Understanding of basic financial terms, products, services, regulations, and compliance standards. + Strong customer service, organization, critical thinking, and ... to changing priorities and perform under pressure. + Familiarity with FINRA regulations preferred. **Salary Range Information** Salary ranges below reflect targeted… more
- US Bank (Charlotte, NC)
- …to identify potential risks, ensure accurate risk rating, and ensure compliance with loan covenants. Immediately elevate concerns and deteriorating credits to ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more