- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... into the platform, delivering automated guardrails, real-time exposure monitoring, and compliance with regulatory standards-making this role central to both… more
- PNC (NC)
- …Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be ... opportunity to contribute to the company's success. As a Compliance Program Advisor , you will be within...will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning,… more
- Lincoln Financial (Greensboro, NC)
- …and assist Funds Management Legal and Compliance group, and Lincoln, with key regulatory compliance . * Assisting in all regulatory examinations of fund ... consulting agreements, confidentiality agreements, vendor contracts for services supporting the advisor and the mutual fund complex. * Drafting negotiating, and… more
- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... on data analysis and data tool creation to support trading management in reporting and decision making. The ideal...this role, you will:** + Serve as a strategic advisor to senior leadership, shaping objectives, plans, and long-term… more
- VF Corporation (Greensboro, NC)
- …to recognize and manage risks, employ risk-mitigation strategies, advise on regulatory and contractual compliance , and assist with various operational ... provide exceptional disclosure to investors and other stakeholders, ensuring compliance with public company regulations, facilitating strategic business transactions… more
- Truist (Charlotte, NC)
- …Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. ... + Bachelor's degree in Finance or Business. + 7 or more years of regulatory , compliance or supervisory experience + FINRA Series 4 **General Description of… more
- NetApp (Morrisville, NC)
- …and investment matters + Maintain programs and policies to ensure compliance with securities-related regulatory requirements, NASDAQ listing standards, ... corporate and securities matters including '33 and '34 Act reporting and compliance , corporate governance, mergers and acquisitions, equity investments, equity plan … more
- Bank OZK (Charlotte, NC)
- …embrace, support, and model the bank's values and mission + Ensure compliance with internal/external regulatory policies, procedures, and guidelines Basic ... with clients' financial needs and objectives. As their trusted advisor , you will work directly with clients to help...portfolio review calls + Provide general investment expertise and trading capabilities + Generate and review trades in the… more