- USAA (Charlotte, NC)
- …impactful. **The Opportunity** We are seeking a motivated and forward-thinking Risk and Compliance Advisor II to join our team and play a key role in navigating the ... + Awareness and ability to apply risk and compliance laws, regulations, and regulatory expectations. + Ability to work with internal and external partners in a… more
- PNC (Charlotte, NC)
- …have an opportunity to contribute to the company's success. As an Investment Advisor Sr. within PNC's Asset Management Private Bank organization, you will be based ... Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal… more
- PNC (Charlotte, NC)
- …opportunity to contribute to the company's success. As a Branch Network Planning Advisor within PNC's Retail Network Planning organization, you will be based in ... Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal… more
- Huntington National Bank (Winston Salem, NC)
- Description Summary: The Private Bank Wealth Advisor III is the primary client relationship manager in the Huntington Private Bank responsible for developing, ... of moderate to high complexity. + Knowledgeable on key compliance and regulatory requirements. + Performs other duties as assigned. Basic Qualifications: +… more
- Hatch (Charlotte, NC)
- …We look forward to hearing from you. Hatch is seeking a Site Health and Safety Advisor based in our Mount Holly, SC. If you are looking for your next step in ... compilation of the project Legal Register + Define local statutory and regulatory requirements and communicate throughout the project + Compile project specific… more
- Sedgwick (Fayetteville, NC)
- …Work(R) Fortune Best Workplaces in Financial Services & Insurance Sr IT Security Advisor **PRIMARY PURPOSE OF THE ROLE:** To manage the implementation of security ... trails and documentation for compliance and governance. + Familiarity with regulatory requirements (eg, PCI-DSS, HIPAA, SOX, GDPR) related to penetration testing.… more
- Vanguard (Charlotte, NC)
- …impact with a leader in the financial industry! As a Senior Wealth Advisor within Vanguard's Advice and Wealth Management division, you will develop tailored ... CFA, CTFA or CPA preferred. + This job requires a Series 7, 63 or 66 regulatory license and/or registration (eg FINRA, state, SFC) as well as the SIE or ability to… more
- USAA (Charlotte, NC)
- …associated with vendors and partners, ensuring alignment with risk appetite and regulatory requirements. This role provides an excellent opportunity to learn and ... Risk Management (TPRM) technology framework aligns with industry best practices and regulatory expectations. + Conducts independent review and challenge of the first… more
- Truist (Charlotte, NC)
- …controls for new processes, transactions, and products within the regulatory reporting framework Provides technical consultation on extremely challenging or ... of ITIL or other IT service management frameworks * Familiarity with regulatory compliance requirements * Experience working in Financial Services Technology **OTHER… more
- Compass Group, North America (NC)
- …administering leave of absence. + Working knowledge of state and federal regulatory requirements related to leave of absence, including Family Medical Leave Act ... (FMLA) and any state regulations. + Bilingual, fluent in English/Spanish preferred + Experience in providing consultation and training on disability issues + Excellent communication and organizational skills. + Detailed oriented. + Team player. + Ability to… more