• Compliance Governance & Operations Manager

    TD Bank (Charlotte, NC)
    …multiple tasks and competing priorities.** + **Proficiency with Microsoft Office applications.** + **FINRA license Series 7 , 63 &24** + **Life and Health ... who can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD Bank US Compliance ,… more
    TD Bank (07/26/25)
    - Related Jobs

  • Lead Compliance Officer - Personal Account…

    Wells Fargo (Charlotte, NC)
    …of the following: work experience, training, military experience, education + Must possess FINRA Series 7 securities license within 12 months of accepting ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD)...effectiveness, mentoring team members, and promoting a culture of compliance and accountability. Success in this role will be… more
    Wells Fargo (07/31/25)
    - Related Jobs

  • Risk Compliance Officer II…

    First Horizon Bank (Raleigh, NC)
    …AND OFFICE EQUIPMENT SKILLS** 1. Microsoft Office suite **CERTIFICATES, LICENSES, REGISTRATIONS (Ex: CPA, Series 6 or 7 license , etc)** None required **About ... and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of...laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing… more
    First Horizon Bank (07/24/25)
    - Related Jobs

  • Wealth Regional Supervisor Specialist Team Leader

    Truist (Charlotte, NC)
    …may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7 , 24, 53 and 66 licenses ( Series 9&10 can be used ... Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience...+ Minimum 2 years of regulatory experience + FINRA Series 4 license **General Description of Available… more
    Truist (07/08/25)
    - Related Jobs

  • Supervisory Control Specialist

    Wells Fargo (Charlotte, NC)
    …following: work experience, training, military experience, education + US Only: Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for ... and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with… more
    Wells Fargo (07/30/25)
    - Related Jobs

  • Relationship Manager- Wealth Management

    Vanguard (Charlotte, NC)
    …requires a regulatory license and/or registration (eg FINRA, state, SFC), the SIE, Series 7 and 63/65 or 66. Certain professional designations may be used in ... lieu of 65/66. These will be determined by Compliance based on role-specific duties. + The SIE & Series 7 are required prior to starting with Vanguard. The … more
    Vanguard (07/04/25)
    - Related Jobs

  • Social Worker - Mental Health Intensive Case…

    Veterans Affairs, Veterans Health Administration (Charlotte, NC)
    …complete pre-employment requirements (https://www.uscis.gov/i-9-central/form-i-9-acceptable-documents). Effective May 7 , 2025, driver's licenses or state-issued ... or reassigned to social worker positions in the GS-0185 series in VHA must be licensed or certified by...the impact of psychosocial problems on health care and compliance with treatment. Assignments: At the full performance level… more
    Veterans Affairs, Veterans Health Administration (08/03/25)
    - Related Jobs

  • Private Banking Advisor

    Comerica (Raleigh, NC)
    … years developing and executing sales and marketing plans + Series 7 + Series 66 + State Insurance License Preferred: + CFP or CTFA, CFA, CPA, JD, or MBA ... legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance ...A Bachelor's degree in Business, Economics, or Finance + 7 years of experience sales and client management experience… more
    Comerica (05/20/25)
    - Related Jobs

  • Audit Sr Advisor - Corporate

    First Horizon Bank (Charlotte, NC)
    …(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...License required (CIA, CISA, CPA, CFA, CRCM, CIFRS, Series 6, 7 , or 24, etc.) or… more
    First Horizon Bank (06/28/25)
    - Related Jobs

  • Client Service Excellence Representative

    Vanguard (Charlotte, NC)
    …knowledge. + High school, associate degree, or bachelor's degree. + This job requires a Series 7 and 63 regulatory license and/or registration (eg FINRA, ... state, SFC). These will be determined by Compliance based on role-specific duties. How we will help:...a financial background to pass their SIE and FINRA Series 7 & 63. After joining corporate… more
    Vanguard (06/27/25)
    - Related Jobs