- Wells Fargo (Wilmington, NC)
- …in a dynamic and complex environment **Job Expectations:** + Specific compliance policies may apply regarding outside activities and/or personal investing; affected ... is not eligible for Visa sponsorship. This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- Wells Fargo (Charlotte, NC)
- …not eligible for VISA sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that...and are required to report certain incidents. + Specific compliance policies may apply regarding outside activities and/or personal… more
- Wells Fargo (Charlotte, NC)
- …Risk, Sales and Trading, Syndicate, Coverage Banking, DCM, Leverage Finance, Compliance , and Legal. **_Required Requirements_** + 5+ years of Investment Banking ... to work in a fast-paced deadline driven environment **_Job Expectations_** + Registration for FINRA Series SIE, 63 and 79 must be completed within 180 days of hire… more
- Wells Fargo (Charlotte, NC)
- …to work in the United States.** This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background ... check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange...240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that… more
- Huntington National Bank (Charlotte, NC)
- …branch network. The HFA Region Manager oversees regional sales activities, regulatory compliance , field operational execution and care for HFA clients to include ... the client. + Ensures that all business is suitable for clients and in compliance with all state and federal securities regulations. + Works closely with internal… more
- Wells Fargo (Charlotte, NC)
- …verbal, written, and interpersonal communication skills **Job Expectations:** + Registration for FINRA Series 99 must be completed within 120 days of hire date ... hire. + Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority ( FINRA ) license(s) is required for ongoing employment in this position. +… more
- Wells Fargo (Charlotte, NC)
- …Range:** NC (Charlotte): $175,000 Yearly This position may be subject to FINRA Background Screening Requirements, including successful completion and clearing of a ... to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be… more
- Truist (Charlotte, NC)
- …and procedures. Ensure team is aware and understands all changes relating to compliance with industry rules, regulations as well as internal policies and procedures. ... responsibility for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account management. Focus on… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …business. * Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as assigned. **Qualifications ... required provided that an exemption or grandfathering cannot be applied. * FINRA Series 7 required. * FINRA Series 66 or 63 and 65 required. * Life & Variable… more
- Truist (Greensboro, NC)
- …who will enhance business development efforts. 7. Work within existing audit, compliance and regulatory framework in order to ensure a high quality, compliant ... market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65...obtained within 100-150 days of job entry date. Active FINRA licenses must be transferred within 60 days of… more