- Wells Fargo (Charlotte, NC)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital Markets ... (Regulation AB), Regulation RR, Volcker Rule, TRACE, and other applicable FINRA, SEC , FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed… more
- Wells Fargo (Charlotte, NC)
- …or a combination of the following: securitization accounting, collateral servicing, financial reporting for securitizations, Regulation AB compliance or daily ... upstream/horizontal/downstream stakeholders such as legal, client onboarding, reference data, financial crimes, agreement management, regulatory reporting , technology,… more
- Truist (Charlotte, NC)
- …**Please review the following job description:** Responsible for providing quality assured financial reporting of the business activities within the Line of ... Primary roles include Management Reporting & Analysis, Financial Risk Management (FRM), Financial Reporting...LOB information enhancement initiatives 12. Oversight and review of SEC and Regulatory disclosures and financial filings… more
- Guardian Life (Raleigh, NC)
- …on other department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations ... you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will… more
- Truist (Charlotte, NC)
- …and business processes are adhered to, service level agreements are met, accurate financial reporting and adequate internal controls are maintained. + Actively ... such as the selection, design, development and implementation of financial reporting systems. + Ensure that ...reporting to Executive Leadership, Board of Directors and Senior Leadership and is also the foundation for external… more
- Lincoln Financial (Greensboro, NC)
- …reporting on regulatory matters related to mutual fund registration documents and fund financial statements. * Preparing SEC filings of funds and advises and ... #:** 74826 **The Role at a Glance** As a Senior Consultant, Fund Admin, Regulatory, you will prepare complex...names rule requirements, and regulatory trends related to Fund SEC filings. Preferred experience working with AcrPro, EDGAR filing… more
- Truist (Charlotte, NC)
- …and regulators** 7. Proactively provide counsel to senior leaders and financial management on complex accounting and external reporting issues. Provide ... advice on a broad range of complex accounting and financial reporting issues to the Finance organization...or Accountancy 2. Prior experience working for a large, SEC -registered financial institution or senior … more
- Truist (Charlotte, NC)
- …job description:** Provide senior -level leadership and coordination of financial analysis and performance reporting necessary to accomplish strategic ... and accurate monthly reporting related to the Bank's and LOB's financial performance and/or regulatory/ SEC requirements. 4. Coordinate profit plans and… more
- TD Bank (Charlotte, NC)
- …that Principal associated directly with the BD/RIA be responsible and accountable for all financial reporting associated with and/or required by FINRA or the ... with HR and Finance to ensure alignment across job families, entitlements, and financial & regulatory reporting . **Depth & Scope:** + Provides people management… more
- Equitable (Charlotte, NC)
- …Are you ready to join an organization that will help unlock your potential? Reporting directly to the Equitable Financial Chief Compliance Officer, the role is ... and/or in a senior compliance level role. + Demonstrated understanding of SEC , FINRA and State Insurance laws, rules and regulations. + Proven knowledge and… more