- Truist (Charlotte, NC)
- …(United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance ... to meet regulatory requirements. 3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions. 4.… more
- Wells Fargo (Charlotte, NC)
- …**Job Expectations:** + Ability to travel up to 10% of the time + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire date if it ... is not available for transfer upon hire. FINRA recognized equivalents will be accepted. + Registration for FINRA Series 79 must be completed within 90 days of… more
- Zoom (Raleigh, NC)
- What you can expect As a Group Product Manager for Financial Services & Compliance , you will lead strategy and execution for Zoom's product offerings tailored to the ... not only customer-centric innovation but also adherence to regulatory standards (eg, FINRA , SEC, GDPR, data retention, archiving). You will maintain compliance … more
- US Bank (Charlotte, NC)
- …residing within the Bank's Second Line of Defense Risk Management and Compliance organization. Specifically, this position supports the Model Risk Management ("MRM") ... and Developers to validate models related to the Bank's Compliance and Financial Crimes groups, which can include Anti-Money...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- PNC (Raleigh, NC)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- Atria Wealth Solutions (King, NC)
- …our appreciation for the opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed established service goals. + ... + Maintain and organize current client files according to compliance guidelines. + Successfully pass semi-annual audits performed by...rules and regulations set forth by the credit union, FINRA , SEC and the broker/dealer. + Accountable for meeting… more
- Wells Fargo (Charlotte, NC)
- …- convert policies into procedures, processes and controls, working in partnership with compliance , legal, 1st and 2nd line control, COB, and other stakeholders - ... Programs and amend the existing process as needed to ensure constant regulatory compliance and operation efficiency + Coordinate with groups to publish and highlight… more
- Navy Federal Credit Union (Matthews, NC)
- …account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate account ... for smaller dollar volume, and less complex, accounts in compliance with Navy Federal and NFIS policies and procedures...documentation and processes comply with Navy Federal standards and FINRA , NASAA, SEC and other regulatory agencies + Prepare… more
- Wells Fargo (Charlotte, NC)
- …issues to meet business objectives + Interpret policies, procedures, and compliance requirements + Collaborate and consult with peers, colleagues, and managers ... while developing the knowledge to understand function, policies, procedures, and compliance requirements **Required Qualifications:** + 2+ years of client service or… more
- Wells Fargo (Charlotte, NC)
- …with integrity, good character and exercise sound judgement **Job Expectations:** + Registration for FINRA Series 63 (or 66) must be completed within 90 days of hire ... date if it is not available for transfer upon hire. + Registration for FINRA Series 79 must be completed within 90 days of hire date if it is not available for… more