- 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
- 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
- PNC (Charlotte, NC)
- …and have an opportunity to contribute to the company's success. As a Wealth Advisor within PNC Investments, you may be based in Austin, Dallas, Fort Worth, Houston, ... 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
- First Horizon Bank (Charlotte, NC)
- …the location in the job posting. **Summary** The Business Risk and Controls Advisor supports the Marketing and Product Management organization. This role sits in the ... gaps and drive remediation of control deficiencies. + Engage in regulatory inquiries, exams and internal audits including preparation of materials, assessment… more
- Bank of America (Holly Springs, NC)
- Financial Solutions Advisor II - Raleigh/Durham Market Raleigh, North Carolina;Chapel Hill, North Carolina; Raleigh, North Carolina; Holly Springs, North Carolina; ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Raleigh/Financial-Solutions- Advisor -II Raleigh-Durham-Market\_25032094) **Job Description:** At Bank of America, we… more
- First Horizon Bank (NC)
- …within the company's footprint. **Summary** The Treasury Management (TM) Risk and Controls Advisor as a first line of defense role that is responsible for executing ... and gaps to line of business management and Risk. + Engage in regulatory inquiries, exams and internal audits including preparation of materials, assessment and… more
- First Horizon Bank (Charlotte, NC)
- …site at location listed in job posting. **Summary** : The Business Risk and Controls Advisor sits in the first line of defense and is responsible for executing risk ... and gaps to line of business management and Risk. * Engage in regulatory inquiries, exams and internal audits including preparation of materials, assessment and… more
- USAA (Charlotte, NC)
- …identify any weak spots, and help fix them. You'll also be involved in audits and regulatory exams and monitor our first line of defense to keep our risks low and ... + Direct and oversee multiple initiatives in support of risk and/or regulatory compliance related initiatives including but not limited to oversight of… more
- USAA (Charlotte, NC)
- …solutions for stronger controls, and in support of risk and/or regulatory compliance related initiatives which may include oversight of procedures/process, accurate ... regulatory reporting and filing, document governance, risk control self-assessments,...apart:** + Subject matter expertise in bank consumer protection regulatory compliance, with proficiency in one or more bank… more
- Truist (Charlotte, NC)
- …and Executive Committees key activities, trends, and events pertaining to risk, regulatory and audit reviews. Continue to promote various risk initiatives and their ... supporting metrics. 17. Develop and maintain effective ongoing communication with other leaders in the BU and leaders of relevant BUs. 18. Foster a spirit of continuous improvement and offer recommendations to refine and/or enhance Business Unit and BURM… more