- Truist (Charlotte, NC)
- …and oversight** 1. Serve as an effective business partner and informed advisor in collaborating across the organization in achieving financial reporting that (i) ... Financial Corporation and its subsidiaries to ensure compliance with GAAP, regulatory reporting and affiliate transaction requirements. Such complex issues include… more
- Wells Fargo (Charlotte, NC)
- …team with a focus on driving productivity, recruiting new and experience advisor , expense management and other initiatives + Assist in compliance, regulatory ... understand policies and procedures, brokerage operations standards and governing bodies regulatory roles and regulations + Collaborate and consult with peers,… more
- American Express (Apex, NC)
- …operations. This role is responsible for advising business leaders on regulatory obligations and ensuring that front-line activities operate within internal policy ... and external regulatory frameworks. The ideal candidate has strong subject matter...and emerging risk trends. + Act as a trusted advisor to senior leaders, supporting a culture of compliance… more
- TEKsystems (Charlotte, NC)
- Description Job Description: Advisor Communications Supervisory Principal - Onboarding Job Overview: The Onboarding Advisor Communications Supervisory Principal ... principal will service as the first point of contact from a marketing regulatory review perspective with the onboarding professional. The Onboarding Advisor … more
- Wells Fargo (Charlotte, NC)
- …this role:** Wells Fargo is seeking a Lead Software Engineer for the Advisor Platform Technology team within Wealth & Investment Management. We are seeking an ... experienced full-stack developer who will lead strategic initiatives for the Advisor Platform Group to drive a best-in-class Financial Advisor experience. In… more
- Citizens (Charlotte, NC)
- …at major financial institutions and possesses deep knowledge of regulatory frameworks, underwriting standards, capital markets products, and workout strategies. ... portfolio, ensuring alignment with the bank's risk appetite, growth objectives, and regulatory expectations. + Team Management & Development: Manage and mentor a… more
- USAA (Charlotte, NC)
- …this position _** The successful candidate will serve as a key advisor responsible for recognizing and reporting Information Technology (IT) and Information Security ... maximize the ability to manage risk in an environment shaped by regulatory change and disruptive, emerging technologies. Ensures effective and appropriate policies,… more
- Truist (Charlotte, NC)
- …job description:** Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are ... suitability and required documentation has been met. Focus on meeting all regulatory requirements pertaining to transaction review. Perform a holistic view of… more
- Truist (Charlotte, NC)
- …realization 2. Responsible for partnering to recruit talent for the Premier Advisor Advancement Journey and facilitate regulatory onboarding and offboarding for ... Premier Banking leadership to advance, train, and coach premier teammates on regulatory priorities and risk and compliance requirements. Provide oversight and direct… more
- Lowe's (Charlotte, NC)
- …a key advisor to executive leadership, ensuring data security and regulatory compliance are embedded across innovation pipelines. The ideal candidate brings deep ... **What You Will Do** + Serve as the primary liaison and strategic advisor to business and technology leaders, ensuring cybersecurity considerations are embedded in… more