- Bank of America (Charlotte, NC)
- …Description:** The Global Control Room (GCR) has a business-critical role to mitigate legal , compliance and reputational risk within the firm and is responsible for ... team monitoring, conflicts management, and restricted list maintenance. + Partner with legal , compliance, and business teams to assess risks related to transactions,… more
- Guardian Life (Raleigh, NC)
- …drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted product platform. + Educate producers, ... to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Truist (Charlotte, NC)
- …efforts of the team * Stays updated and abreast of changing economic, legal , financial planning, investment trends and general market and business issues impacting ... resource for clients, their attorneys and CPAs. * Maintain appropriate legal , operating and regulatory controls to manage risk and compliance. Works… more
- Wells Fargo (Charlotte, NC)
- …management operations, market knowledge, knowledge of commercial or multi-family mortgage and legal documents, and credit risk analysis + Experience with Fannie Mae ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Ally (Raleigh, NC)
- …including balance sheet management, investor relations, capital team, accounting and legal , to ensure seamless execution of financing transactions * Lead internal ... analytics of Ally's asset-backed securitization (ABS), corporate debt and equity securities , peer performance, and market conditions * Support Ally's rating agency… more
- Truist (Greensboro, NC)
- …asset allocation objectives and policies. 3. Keep abreast of changing economic, legal , financial planning, investment trends and general market and business issues ... and traditional retail bank products for the mass affluent market. 4. A minimum of Securities Industry Essentials (SIE), FINRA Series 6 or 7, 66 (63 and 65 in lieu… more
- Wells Fargo (Charlotte, NC)
- …Develop and maintain strong partnerships with HR Business Partners, Recruiters, Finance, Legal , and Total Rewards Communities of Excellence to ensure alignment and ... check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states… more
- Siemens (Wendell, NC)
- …commercial/financial related matters, including but not limited to handling Accounting, Legal , Tax, New Collaboration Model (NCM) and Export Compliance and Control ... local GAAP requirements, and manage financial guarantees, bonds, andproject securities . + Support the PM in minimizingnon-conformance costs, establishing reporting… more
- CGI Technologies and Solutions, Inc. (Cary, NC)
- …capability across scenarios. * Have working project domain experience in Fixed Income, Mortgage, Securities or Loans is nice to have. * Strong tech skills to handle ... investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with CGI's legal duty to furnish information. more
- US Bank (Charlotte, NC)
- …services to authorized undertaking for collective investment in transferable securities (UCITS) and Alternative investment funds in Ireland and Luxembourg. ... and Conduct of Business, Operational Risk, Regulatory Reporting, Compliance, Legal , Human Resources, Treasury, Payments (Merchant Acquiring, Corporate Payment… more