- Truist (Charlotte, NC)
- …and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities include ... assigned Business Unit across all risk types to promote and strengthen compliance with applicable regulations, policies, procedures and risk program requirements. 2.… more
- Equitable (Charlotte, NC)
- …products. + Series 7, Series 66 OR Series 63 and 65. Series 24 required or must obtain within 6 months of employment. + Demonstrated knowledge of ... retirement plan products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and retirement plan… more
- Wells Fargo (Charlotte, NC)
- …above-benchmark returns consistently while managing risk. + Ensure compliance with investment guidelines, regulatory requirements, and fiduciary responsibilities. ... with regulatory requirements and fiduciary responsibilities. **Required Qualifications:** + 6 + months of Wealth Investment Portfolio Management experience, or… more
- Wells Fargo (Charlotte, NC)
- …from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area + Collaborate ... Share Rights or other long-term incentive awards. **Required Qualifications:** + 6 + months of Investment Banking Program experience, or equivalent demonstrated… more
- First Horizon Bank (Charlotte, NC)
- …Auditors (IIA) Standards Certification or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.). Prior experience at a large, complex ... the full range of risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...or License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6 , 7, or 24, etc.) or… more
- Veterans Affairs, Veterans Health Administration (Salisbury, NC)
- …work. Licensure: Persons hired or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by a state to independently ... the impact of psychosocial problems on health care and compliance with treatment. Assignments: At the full performance level...will result in removal from the GS-185 social work series and may result in termination of employment. Failure… more
- Veterans Affairs, Veterans Health Administration (Fayetteville, NC)
- …education and training needs; and resolving interpersonal issues. Ensures compliance with accrediting agency and regulatory requirements and establishes and ... Grandfathering Provision. All histopathology technologists employed in VHA in this occupational series or in another occupational series , who perform the duties… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …new client development, sales activities, investment management, customer service and compliance with personal and professional growth and development. The Trainee ... services. + Firm's working structure, policies, mission, strategies, and compliance guidelines. **Skill in** + Operating client relationship manager...that an exemption or grandfathering cannot be applied. + Series 7 and Series 66 or the… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …for an important area of responsibility within a function, ensuring compliance with external requirements and integration with the broader functional policy ... university in related field and a minimum of six ( 6 ) years of Administrative Manager experience in the financial...that an exemption or grandfathering cannot be applied. + Series 7, 9 & 10 required. + Series… more
- Wells Fargo (Charlotte, NC)
- …and give feedback throughout the course of the summer. + **A virtual speaker series ** : Wells Fargo's top leaders provide insight into how to make the most ... from a manager and exercise independent judgment while developing knowledgeof compliance and risk management requirements for the supported area. + Prioritize… more