- 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)
- …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 (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
- Wells Fargo (Davidson, NC)
- …partnerships with all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management + Execute on ... or leadership experience + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9, 10, and 63 examinations (or FINRA … more
- TD Bank (Charlotte, NC)
- …have extensive Wealth Management leadership experience + Extensive understanding of current compliance and regulatory issues (OCC, SEC, FINRA , and State ... in Wealth by partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory, … more
- TD Bank (Charlotte, NC)
- …a critical executive role responsible for management of Administration, FINRA required FINOP responsibilities, Marketing Principal duties, Strategy, middle-office ... responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ)… more
- TD Bank (Charlotte, NC)
- …of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of ... communications. This role works closely with the supervision, operations, compliance , and risk departments of the US Wealth organization....required. + 5+ years of Brokerage industry experience + FINRA Series 7 Required + FINRA Series… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer** to join the **Regulatory Change & Inventory Management (RCIM)** team within Wells Fargo ... . As part of the RCIM team, the Lead Compliance Officer will lead several critical tasks required to...for Visa sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing… more
- PNC (NC)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail Organization supporting the Risk, ... Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may...* Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are preferred… more