- Bank of America (Charlotte, NC)
- …through the lifecycle of a trade. Key responsibilities include handling trading and operational activities before deadlines, maintaining internal systems and ... degree of accuracy with customers and data to ensure compliance with regulations and policies. **LOB Description:** Thisjob is...Confirmations team. The associate will need to liaise with Trading /Sales, Legal and other operational teams as well as… more
- PNC (Winston Salem, NC)
- …industry and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. Provides coaching to other team members. ... Relationship Building, Corporate Finance, Decision Making, Economic Policy, Equities Trading , Financial Management, Structuring **Competencies** Alignment, Decision Making and… more
- Wells Fargo (Charlotte, NC)
- …strategies for clients, pulling market and industry research, and completing a trading simulation within Investment Banking Mid-Year Program + Review strategies for ... to low-to-medium risk tasks and deliverables + Receive direction from a manager and exercise independent judgment while developing understanding of compliance … more
- Bank of America (Charlotte, NC)
- …learn, grow, and make an impact. Join us! The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of ... facts of the investigation to assist in identifying potential operational or compliance risks, and completing Suspicious Activity Reports (SAR) in a timely and… more
- Wells Fargo (Charlotte, NC)
- …environment while developing understanding of function, policies, procedures, and compliance requirements + Provide information to, collaborate, and consult with ... eligible for Visa Sponsorship You should be aware that specific compliance policies may apply regarding outside activities and/or personal investing. Requirements… more
- Ralliant (Raleigh, NC)
- …Maintain and enhance corporate governance practices, including charters, policies, and insider trading programs. + Ensure compliance with NYSE listing standards, ... Governance, this role will serve as a strategic partner on public company compliance , corporate governance, M&A, and financing activity. This is a high-impact role… more
- Nuveen Investments (Charlotte, NC)
- …at such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading , and other internal ... RFP/DDQ responses. Nuveen Global Fixed Income ("Nuveen GFI") is world-class asset manager that manages approximately $600 billion of investment strategies across the… more
- Bank of America (Charlotte, NC)
- …Review and challenge key capital management activities, including Fundamental Review of the Trading Book (FRTB) and Basel 3 market risk rule implementation + Review ... review and challenge of regulatory rule interpretations and rule compliance documentation + Develop and demonstrate acumen for the...offered a role with Bank of America, your hiring manager will provide you with information on the in-office… more
- Principal Financial Group (Charlotte, NC)
- …our solutions meet the highest standards of availability, performance, security, and compliance . + **Solve tough problems** - from working through complex issues to ... testing platform (eg, Kameleoon, Optimizely, etc.) + Google Tag Manager + Building data pipelines + React and Next.js...to personal and business conduct as well as personal trading activities for you and members of your household.… more
- PNC (Charlotte, NC)
- …industry and market developments, deal flow and regulatory requirements. Enforces compliance with policies and regulations. Works with stakeholders to develop/modify ... Framework. PNC also has fundamental expectations of our people managers. As a manager of talent in PNC, you will be expected to: + **Include Intentionally**… more