- Wells Fargo (Charlotte, NC)
- …tactical projects and contribute to business growth strategy initiatives + Ensure compliance with regulatory and internal policy requirements + Track and report on ... the following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7) exam to qualify for immediate registration… more
- Wells Fargo (Lumberton, NC)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
- Wells Fargo (Charlotte, NC)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Wells Fargo (Wilmington, NC)
- …experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... complex environment **Job expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. … more
- Wells Fargo (Charlotte, NC)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... financial markets, banking, or financial services industry. **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire… more
- US Bank (Charlotte, NC)
- …and discover what you excel at-all from Day One. **Job Description** The Corporate Compliance group within US Bancorp Risk Management & Compliance is seeking a ... highly motivated self-starter with strong risk management skills and compliance experience to lead the Corporate Compliance ...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Charlotte, NC)
- …**Job Description** Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the ... risk management framework. Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- PNC (Charlotte, NC)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Specialist Senior within PNC Investments, you will be based in Cleveland, ... E. 9th Street location. **Job Description** + Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices. Develops… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of… more
- TD Bank (Charlotte, NC)
- …in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + Undergraduate degree ... industry knowledge + Series 7, 24, 66 (or equivalent) FINRA Registrations + Experience with the wealth industry and...and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more