- First Horizon Bank (Lafayette, LA)
- …risk management solutions, business transition strategies, etc. You will utilize our financial planning strategy to advise high net worth individuals on all aspects ... using a team approach to deliver solutions to client's financial needs and to enhance existing relationships. + Thrives...legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance … more
- Nuveen Investments (New York, NY)
- …such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners ... internal sales teams on the asset class. + Ensuring compliance with regulations: Collaborating with Compliance to...Required; 7+ Years Preferred **FINRA Registrations** + SRC Indicator: Series 7; Series 63 **Physical Requirements** +… more
- JPMorgan Chase (Tampa, FL)
- …and endowments grow, manage, and sustain their wealth through personalized, comprehensive financial solutions for more than 160 years. JP Morgan is a global ... as a liaison for issue resolution. Review and resolve compliance surveillance inquiries + Provide principal approval for brokerage...all job duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53) + A valid… more
- Wells Fargo (New York, NY)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... range of products and services to clients through formulating financial strategy and policy with clients at the executive...recognized equivalents will be accepted + Registration for FINRA Series 63 (or 66) must be completed within 90… more
- Wells Fargo (York, PA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... in loan volume and product adoption. This role involves partnering with Financial Advisors and internal stakeholders to deliver tailored lending solutions, optimize… more
- Truist (Jupiter, FL)
- …comprehensive wealth management advice and solutions. Utilize objective and sound personal financial planning and financial advisory concepts to provide an ... using a team approach to deliver solutions to client's financial needs and to enhance existing relationships. * Thrives...legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance … more
- US Bank (Earth City, MO)
- …best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We ... market's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.** **Manages first line supervision by monitoring associated...experience - Five or more years of experience in financial services industry - Three to five years of… more
- Wells Fargo (San Francisco, CA)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... has a lead role and be active in providing financial advice, ideas and solutions to client base +...Registration for FINRA exams including Securities Industry Essentials (SIE), Series 63 and Series 79 must be… more
- Wells Fargo (Charlotte, NC)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... environment while developing understanding of function, policies, procedures, and compliance requirements + Provide information to, collaborate, and consult with… more
- Defense Commissary Agency (Fort Jackson, SC)
- …for additions, deletions, or changes to contractor services to ensure compliance with DeCA directives. Approves or rejects contractor's work schedule and ... You must meet the Office of Personnel Management (OPM) qualifications for series 1101 and additional requirements by the announcement closing date. Your resume… more