- Atria Wealth Solutions (King, NC)
- Through its relationship with CUSO Financial Services, LP (CFS) Allegacy Federal Credit Union is seeking a Financial Advisor to join their team in the King NC ... you believe that strong, personal relationships are critical to financial success? Do you want to work for an...opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed… more
- State of Nevada (NV)
- …policy and procedures; reviewing documents prepared by others for program compliance determinations; preparing reports which summarize financial and statistical ... COMPLIANCE /AUDIT INVESTIGATOR 1 - Underfill APPROXIMATE ANNUAL SALARY...mortgage lending, or workers' compensation. Investigators allocated to this series do not require POST certification. Incumbents perform in… more
- First Horizon Bank (Dallas, TX)
- …of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal ... laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing responsibilities. Must have transferrable skills… more
- US Bank (Cincinnati, OH)
- …10 years of experience in information technology, information security, risk management, and/or compliance + Experience in financial or legal regulatory and ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...as the NIST 800-53, NIST CSF, and ISO 27000 series . The candidate should understand and have experience with… more
- Robert Half Finance & Accounting (Boston, MA)
- …The role is in Boston, mostly in office. This role focuses on ensuring compliance and mitigating risk within a financial institution through meticulous analysis ... and approve advertising, sales literature, trade corrections, and other compliance matters, while investigating potential violations of industry standards. The… more
- Wells Fargo (Hesperia, CA)
- …relationships with customers and partners Desired Qualifications: * Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and ... practices risk management culture * Current registration for FINRA Series 6 and Series 63 (or FINRA...for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes… more
- Wells Fargo (Lynwood, CA)
- …relationships with customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and ... practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA...for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes… more
- Wells Fargo (Atlantic Highlands, NJ)
- …relationships with customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and ... practices risk management culture + Current registration for FINRA Series 6 and Series 63 (or FINRA...for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes… more
- Citizens (Conshohocken, PA)
- …clients through being the single point of contact for investment needs. The Virtual Financial Advisor will be required to maintain compliance with all Citizens ... share in the states we currently operate. We are currently hiring talented Financial Advisors who proactively identify and sell a broad array of Investment and… more
- UMB Bank (Madison, WI)
- …**Private Wealth Management team** custom-tailors services for clients, incorporating financial planning, private banking, investment management, personal trust and ... to help them stay on track to meet their financial goals. We pride ourselves on a listen-first approach...+ You must have, or possessability to obtain, the Series 65 registration within 120 days of employment. +… more