- Vanguard (Malvern, PA)
- …accomplish objectives. + This job may require regulatory license and/or registration (eg FINRA , state). These will be determined by Compliance based on ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- Wells Fargo (Philadelphia, PA)
- …an application for a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008 and all related ... and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 6 and Series 63 examinations (or FINRA … more
- Wells Fargo (Folsom, PA)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Wells Fargo (Wayne, PA)
- …the business by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations * Collect information directly ... a dwelling secured transaction. As such, this position requires compliance with the SAFE. Mortgage Licensing Act of 2008...recommending financial services products and services * Successfully completed FINRA Series 6 and 63 exams (or recognized … more
- Wells Fargo (Allentown, PA)
- …experience, education + US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 examinations (or FINRA recognized ... complex environment **Job Expectations:** + US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. … more
- PNC (Pittsburgh, PA)
- …valued and have an opportunity to contribute to the company's success. As a Compliance Program Manager Senior within PNC's Human Resources Risk & Compliance ... resources/employment law and regulatory knowledge, including experience with international HR compliance . *Ability to work with human resource teams, legal and risk… more
- PNC (Pittsburgh, PA)
- …and have an opportunity to contribute to the company's success. As a Compliance Program Specialist Senior within PNC Investments, you will be based in Cleveland, ... OPT for this position. **Job Description** + Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices. Develops… more
- Guardian Life (Bethlehem, PA)
- …best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie, ... Do you want to be part of a collaborative Compliance Legal Team? The Compliance Analyst, Park...+ Broad knowledge of the financial services industry and FINRA , SEC and State rules and regulations along with… more
- PNC (Pittsburgh, PA)
- …to contribute to the company's success. As an Enterprise Testing Specialist - Compliance within PNC's Risk Management organization, you will be based in Pittsburgh, ... evaluates the effectiveness of model governance and documentation to ensure compliance with regulatory requirements and internal policies. The position involves… more
- PNC (Pittsburgh, PA)
- …you will be within PNC's Internal Audit organization, supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more