• 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 (09/03/25)
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  • Senior Compliance Officer - Wealth…

    Truist (Charlotte, NC)
    …years at medium to large financial institution 3. Experience using SQL 4. FINRA series 7 license preferred **General Description of Available Benefits for ... (United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance … more
    Truist (08/29/25)
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  • Senior Compliance Business Oversight…

    TD Bank (Charlotte, NC)
    …priorities to meet deadlines** + **Experience presenting to management and regulators** + **FINRA series 7 and 24** + **Life and Health Insurance License ** ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
    TD Bank (08/21/25)
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  • 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 ... in lieu of Series 66) Life/Health and Variable Insurance Licensing + 7 years related retail brokerage and/or investment advisory experience with an emphasis in… more
    Truist (07/08/25)
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  • Retirement Development Consultant

    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...advisor relationships + FINRA Series 63 or Series 66 + North Carolina State Insurance License… more
    Wells Fargo (08/23/25)
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  • Annuity and Retirement Consultant

    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 (08/23/25)
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  • Internal Alternative Investment Consultant

    Wells Fargo (Charlotte, NC)
    …of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA recognized equivalents) + FINRA registration including ... AI Middle Office Support Team + Ensure adherence to compliance regulations and policies within the Alternative Investments product...is required for ongoing employment in this position. FINRA Series 7 and 63 (or 66) examinations,… more
    Wells Fargo (08/23/25)
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  • HUD-Vash Senior Social Worker-Housing…

    Veterans Affairs, Veterans Health Administration (Fayetteville, NC)
    …of HUD-VASH apartments to ensure that veterans reside in safe environments in compliance with local housing codes. 7 . Verifies the veteran's status, eligibility ... be carried into retirement) Requirements Conditions of Employment Must have a state-issued driver's license You must be a US Citizen to apply for this job. Selective… more
    Veterans Affairs, Veterans Health Administration (08/21/25)
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  • 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 (08/15/25)
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  • 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 (08/19/25)
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