- 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
- Wells Fargo (Charlotte, NC)
- …liaise with external and internal customers to comply with all operational, compliance , regulatory and internal policies as part of the client onboarding process. ... client service while ensuring all internal risk and external compliance standards and requirements are fully met + Gather...Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations + Account management experience + Brokerage operations… 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
- Wells Fargo (Charlotte, NC)
- …of leadership or involvement in professional or academic initiatives **Licensing Requirements** FINRA registration for SIE, Series 63 (or 66), and Series 79 must ... Yearly Washington, DC: $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Wells Fargo (Charlotte, NC)
- …deliverables + Leverage solid understanding of functions, policies, procedures and compliance requirements + Mentor and assist analysts + Collaborate and consult ... and institutional clients across the globe. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Wells Fargo (Charlotte, NC)
- …+ Knowledge and understanding of technical IRS tax withholding and reporting compliance (1099 INT, 1099 MISC, 1099-B, 1042-S, IMY Reporting to Beneficiary Owners) ... 550 S Tryon St, Charlotte, NC 28202 This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background… more
- Wells Fargo (Charlotte, NC)
- …training as scheduled + Assist with deal closing including regulatory and compliance requirements Ideal Candidate for this role: + Outstanding problem solving and ... banking, or financial services industry. This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more