- Coinbase (Charlotte, NC)
- …class control framework. * Partner with exam management team to respond to all regulatory exams and inquiries . * Work with Market Surveillance team and ... emerging onchain platform - and with it, the future global financial system. To achieve our mission, we're seeking...with high levels of accountability. * Experience with FINRA exams / inquiries . * Knowledge of 15c3-5 Market Access,… more
- Bank of America (Charlotte, NC)
- …FLU Audits and respond to Audit requests and inquiries + Participate in Regulatory Meetings and Exams to provide Risk Manager perspective on critical issues ... of key risks within the areas of coverage + Monitor regulatory changes applicable to Global Financial Crimes + Engage with relevant GFC partners to drive… more
- Wells Fargo (Charlotte, NC)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... role, you will:** + Participate in researching and resolving escalated inquiries and complaints with significant organizational impact and identify opportunities to… more
- TD Bank (Charlotte, NC)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... risk assessment, reporting and other activities** + **Internal Audit, regulatory exam , and ongoing supervision management, finding...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- TD Bank (Charlotte, NC)
- …with non-routine information + Manages/assists with regulatory reviews including inquiries , audits, and exams + Identifies and leads problem resolution ... The individual will lead and coordinate compliance-related initiatives, manage regulatory exams , and collaborate cross-functionally to support business… more
- Wells Fargo (Charlotte, NC)
- …Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers ... to emerging affluent and high-value customers + Present recommendations for resolving inquiries and service requests regarding customers' accounts + Open and service… more
- TIAA (Charlotte, NC)
- …ready to join our coalition of champions. This is a Financial Industry Regulatory Authority (FINRA) Registered role that is primarily responsible for taking inbound ... pass FINRA Series 6 or 7 and 63 certification exams if you are not currently licensed or registered....participant. + Maintains records of all participant interactions, including inquiries , complaints, and actions taken, as well as banking… more