- Equitable (Charlotte, NC)
- …BA/BS degree + FINRA Series 7 and Series 24 preferred. Would consider candidates with a Series 6 and 26, or candidates with a Series 7 or Series ... Advertising Compliance Reviewer ( 250000DU ) **Primary Location** : UNITED...6 with a requirement to obtain the Series 24 or Series 26 within 90 days… more
- Truist (Charlotte, NC)
- …control issues. 5. Communicate with management and regulators with respect to compliance risk management activities and regulatory examinations. 6 . Implement ... and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise… more
- Equitable (Charlotte, NC)
- …and Benefits: Equitable Total Rewards Program **Qualifications** Minimum Qualifications: + Bachelor's degree + FINRA Series 6 or 7 and 26 or 24 + 7 years of ... Chief Compliance Officer ( 250000CZ ) **Primary Location** :...your potential? Reporting directly to the Equitable Financial Chief Compliance Officer, the role is responsible for maintaining, developing… more
- Truist (Charlotte, NC)
- …of responding to compliance reviews or providing documents and information to compliance , audit or the regulators 6 . Implement strategies and methods related ... (United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance … more
- Wells Fargo (Lumberton, NC)
- …partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or FINRA ... a dwelling secured transaction. As such, this position requires compliance with the SAFE Mortgage Licensing Act of 2008...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- First Horizon Bank (Asheboro, NC)
- …+ 5 - 10 years of BSA/AML experience **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license, etc)** None required **About Us** First Horizon ... * Tuition reimbursement * Mentor program * 401(k) with 6 % match * More -- FirstHorizon.com/First-Horizon-National-Corporation/Careers/Our-Benefits **Follow Us** Facebook… more
- Wells Fargo (Burlington, NC)
- …+ Experience recommending financial services products and services + Successfully completed FINRA Series 6 and 63 exams (or recognized FINRA equivalents) to ... by adhering to policies, procedures and controls and ensuring compliance with applicable laws, rules, and regulations + Collect...practices risk management culture + Current registration for FINRA Series 6 and Series 63… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7) exam to qualify for immediate registration ... for growth opportunities in an assigned market + Ensure adherence to compliance regulations and policies + Perform research within Business Growth Strategy… more
- Wells Fargo (Charlotte, NC)
- …following: work experience, training, military experience, education + Successfully completed FINRA Series 6 (or 7) exam to qualify for immediate registration ... and contribute to business growth strategy initiatives + Ensure compliance with regulatory and internal policy requirements + Track...with the ability to build advisor relationships + FINRA Series 63 or Series 66 + North… more
- First Horizon Bank (Greensboro, NC)
- …Maintain appropriate legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance and regulatory framework ... Degree Required + Ability to maintain proper licenses including Series 7, Series 66, the Securities Industry...requirements of a background credit check. This position requires compliance with the SAFE Mortgage Licensing Act of 2008… more