- Aegon Asset Management (Philadelphia, PA)
- …relationships with clients and intermediaries to ensure client satisfaction. + Ensure compliance standards are sustained across entire team. + Develop service & ... able to lead others through change processes. Preferred Qualifications + MBA + FINRA Series 6 + ASPPA certifications Working Conditions + Hybrid office environment… more
- PNC (Pittsburgh, PA)
- …required, through performance optimization, problem resolution, vulnerability and platform compliance , and timely issue communications within the cyber security. ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- M&T Bank (Williamsport, PA)
- …activity (ie updates sales and referral activity.) + Support the audit and compliance process and associated activities. + Support the sales force by facilitating ... and Experience Preferred:** Minimum of 1 years' sales and/or sales administration experience FINRA Series 99 license M&T Bank is committed to fair, competitive, and… more
- PNC (Pittsburgh, PA)
- …model. + Prepares and analyzes detailed documents for validation and regulatory compliance , using applicable templates. PNC Employees take pride in our reputation ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Philadelphia, PA)
- …expertise while working with the businesses and other risk partners (eg, Compliance , Credit, Legal, Audit). Monitors changes in internal and external factors and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Philadelphia, PA)
- …framework. + Implements and oversees activities including coordination with legal, compliance , finance, risk and other key partners. Leads partnership with agencies, ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Pittsburgh, PA)
- …on the uniformity of third party vetting, completion of all risk/ compliance deliverables and project financials management.** **Transactions** **The Transactions and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Pittsburgh, PA)
- …Risk + Operational Risk Management + Credit Risk + Regulatory Affairs + Enterprise Compliance + Retail Risk + Enterprise Risk Management + Technology Risk + Human ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Pittsburgh, PA)
- …expertise while working with the businesses and other risk partners (eg, Compliance , Credit, Legal, Audit). + Participates in risk initiatives, business as usual ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Harrisburg, PA)
- …a strong understanding of the funds regulatory, reporting, and tax regimes ensuring compliance + Responsible for risk and control program adherence related to the ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more