- PNC (Philadelphia, PA)
- …of a broad range of eco-system partners. Accountable for risk management and compliance in a complex business environment. Builds a high performing team through the ... and sound decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures.… more
- PNC (Pittsburgh, PA)
- …data products meet high standards of quality, reliability, security, and compliance with financial regulations and ethical data practices. * Foster Cross-Functional ... board groomed. * Collaborates with UI/UX team on design solutions. * Ensures compliance with PQA requirements. This role offers a unique opportunity to shape the… more
- PNC (Pittsburgh, PA)
- …procedures. May review reports to identify exceptions, monitor quality and ensure compliance . May participate in risk mitigation activities. PNC Employees take pride ... in this position. **Preferred Skills** Accountability, Customer Solutions, Ensure Compliance , Personal Initiative, Process Improvements, Results-Oriented, Risk Mitigation Strategies,… more
- US Bank (Harrisburg, PA)
- …administrators, transfer agencies and prime brokers/custodian relationships collaborating on compliance , audit and financials, while ensuring all Fund Accounting ... functions are in compliance with SEC regulations and GAAP principles. Basic Qualifications...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- PNC (PA)
- …business adheres to policies, procedures and regulatory standards. Independently resolves compliance issues and drives risk mitigation activities. PNC Employees take ... in this position. **Preferred Skills** Accountability, Customer Solutions, Ensure Compliance , Personal Initiative, Process Improvements, Results-Oriented, Risk Mitigation Strategies,… more
- PNC (Pittsburgh, PA)
- …and training of staff related to both generally accepted accounting principles and compliance with provisions of the Sarbanes-Oxley Act. PNC Employees take pride in ... Reporting, Generally Accepted Accounting Principles (GAAP), Internal Controls, Sarbanes-Oxley Compliance **Work Experience** Roles at this level typically require a… more
- PNC (Pittsburgh, PA)
- …risk expertise while working with the businesses and other risk partners (eg, Compliance , Credit, Legal, Audit). + Leads or influences risk initiatives and business ... impact and makes recommendations on resolution. Reports and escalates risk and program compliance as appropriate. PNC Employees take pride in our reputation and to… more
- PNC (Pittsburgh, PA)
- …and reports on reviews and tests of software systems and products to verify compliance with applicable specifications and standards. + Leads the effort to work with ... Oversees team members responsible for testing and inspection of products to determine compliance with specifications . PNC Employees take pride in our reputation and… more
- PNC (Glen Mills, PA)
- …a broad range of eco-system partners. Accountable for risk management and compliance . Builds a high performing team through the attraction, on-boarding, coaching ... and sound decision making to mitigate sales practice risk. Ensures compliance with regulatory guidelines and adherence to established policies and procedures.… more
- Truist (Philadelphia, PA)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... disabilities to perform the essential functions. * Bachelor's Degree Required * FINRA : Maintains proper licenses including Series 7, Series 66, the Securities… more