- PNC (Pittsburgh, PA)
- …solutions and refers other banking products and services; reviews documentation to ensure compliance . + Grows, retains and develops an effective sales force to cover ... 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 (Wayne, PA)
- …area (and/or team) can be met. Monitors adherence to AMG's risk and compliance policies and processes for the assigned area. + Builds relationships and works ... 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)
- …and managers. Creates, develops, executes and tracks exception rate policy and compliance . Leads policy enhancements. + Directs pricing inputs into annual planning ... 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)
- …the quality of complex project deliverables while ensuring that they are in compliance with relevant standards and processes. PNC Employees take pride in our ... 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)
- …solutions and refers products and services. Reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal 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)
- …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
- MUFG (Sand Hill, PA)
- …approval division to ensure alignment of risk strategy and policy + Ensure compliance with policy and regulatory requirements **Skills & Experience:** + Ideally a ... the background screening requirements of the Financial Industry Regulatory Authority ( FINRA ) and the National Futures Association (NFA). The major responsibilities… more
- PNC (Pittsburgh, PA)
- …and modernization of systems and software to ensure stability and compliance to technology standards. * Performs maintenance, including installation of patches ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Bank of America (Philadelphia, PA)
- …inform them of circumstances that require supervisory attention/review/approval per compliance guidelines and policies + Source prospective clients and capitalize ... development needed to continue a successful career as a Financial Advisor Required Skills: + FINRA Series 7 & 66 (63 & 65 accepted, in lieu of 66) registrations… more
- PNC (Pittsburgh, PA)
- …and ensure proper use of tools, methods and schedules to enable compliance with the change management process. + Executes change management processes appropriately. ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more