- PNC (Pittsburgh, PA)
- …and continuous** **auditing** **.** **Testing internal control systems and compliance with established audit policies and procedures.** **Assisting** **in performing ... Management Group (AMG)** **Bank Secrecy Act/Anti Money Laundering (BSA/AML)** ** Compliance ** **Corporate** **&** **Institutional Banking (C&IB)** **Credit** **Risk Management**… more
- PNC (Pittsburgh, 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 deliver business value and insights **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and ... Process Control, Risk Assessments, Risk Management **Competencies** Audit And Compliance Function, Business Acumen, Coaching Others, Decision Making and Critical… more
- HUB International (Blue Bell, PA)
- …retirement plan design, investment counseling, enrollment, educational seminars, compliance , and risk management of company-sponsored retirement plans. ... and cost, to keep plans competitive overall. + Deliver compliance guidance as a fiduciary in accordance with ERISA...the equivalent combination of education and experience. + Requires FINRA Series 6, 63, and 65 (or 7 and… more
- PNC (North Hills, 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)
- …this position. **Job Description** + Oversees data assets that are in compliance with data governance standards, policies and processes. Develops strategies for data ... 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)
- …relevant information for accuracy. Performs common processing and ensures compliance with standard regulations and processes. May administer complex implementation ... 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
- Vanguard (Malvern, PA)
- …registration (eg FINRA , state, SFC). These will be determined by Compliance based on role-specific duties. Special Factors Sponsorship Vanguard is not offering ... visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission-we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and… more
- Vanguard (Malvern, PA)
- …including strategy, sales, marketing, operations and risk management. + Advise on FINRA , SEC and related banking regulations with a solutions-oriented mindset on ... fraud-related events; support regulatory exams, inquiries and actions. + Collaborate with Compliance , Risk, Audit and other shared service functions, to evaluate and… more