- PNC (Charlotte, NC)
- …solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Charlotte, NC)
- …+ Direct business development and sales experience. + Legal, credit underwriting, compliance or other risk management experience. + Customer service and onboarding ... 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
- SMBC (Charlotte, NC)
- …infrastructure. * Define cloud architecture best practices and ensure governance, compliance , and performance standards are met within a highly regulated ... 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
- SMBC (Charlotte, NC)
- …onboarding. This will involve working with Horizontal Functional Areas (such as Compliance , HR, Risk) and subsidiaries / Group Companies Business Stewards to ... 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
- SMBC (Charlotte, NC)
- …to measure data governance maturity, data quality, tooling adoption, and policy compliance . + Develop dashboards and reporting solutions using enterprise tools (eg, ... 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 (Raleigh, NC)
- …model. + Prepares and analyzes detailed documents for validation and regulatory compliance , using applicable templates. PNC Employees take pride in our reputation ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- SMBC (Charlotte, NC)
- …ServiceNow Test Management. + Ensure ServiceNow platform changes meet quality, compliance , and business expectations. + Support automation testing strategies where ... 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
- Bank of America (Wilmington, NC)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations… more
- SMBC (Charlotte, NC)
- …as liaison between business areas and infrastructure functions, including legal, compliance and risk management to ensure alignment and introduce comprehensive ... 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
- SMBC (Charlotte, NC)
- …and Skills** + Proven experience in governance, risk management, or compliance . + Strong understanding of AI ethics, policies, and regulatory frameworks. ... 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