- 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
- SMBC (Charlotte, NC)
- …or other industry with regulatory environment.Familiarity with financial regulations and compliance frameworks (eg, FFIEC, GLBA, PCI-DSS). + Certifications such as ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- US Bank (Charlotte, NC)
- …business + Collaborate with other related support functions, such as Risk, Compliance and Regulatory Services + Work with senior leadership within the business ... Experience navigating relationships with regulatory authorities, especially the SEC and FINRA + Experience with broker-dealer corporate governance + Familiarity and… more
- Vanguard (Charlotte, NC)
- …and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. How we will help: Choosing the next step in ... focused on supporting individuals without a financial background to pass their SIE and FINRA Series 7 & 63. After joining corporate orientation, you will go straight… more
- Vanguard (Charlotte, NC)
- …and/or registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. How we will help: Choosing the next step in ... + Fully paid training, coaching, and continuous support needed to pass the SIE and FINRA Series 7 & 63. + Access to learning and development resources to equip, and… more
- Bank of America (Charlotte, NC)
- …learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of ... facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and… more
- Wells Fargo (Charlotte, NC)
- …implementing pricing, risk, and analytics models, supporting regulatory and compliance requirements and collaborating with traders, quants, product and other ... platform issues of a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are met and work with… more
- Wells Fargo (Charlotte, NC)
- …plans. Maintain all system diagrams, system interface charts and any other compliance policy and procedure documents. Work closely with quality assurance on the ... a technically challenging nature + Lead team to ensure compliance and risk management requirements for supported area are...and processes + Basic knowledge and understanding of SEC, FINRA and international regulations + Working knowledge on Agile… more
- US Bank (Charlotte, NC)
- …and external regulatory reports and coordinates with responsible parties to ensure compliance with applicable regulations. Conducts compliance reviews, manages ... in the development, implementation and distribution of all regulatory or compliance based policies and procedures. Provides current regulatory information to… more