- Charles IT (Stamford, CT)
- …cold outreach, referrals, networking, and industry events. + Use your knowledge of compliance frameworks (HIPAA, FINRA , CMMC, SOC 2, etc.) to position Charles ... within managed services or IT solutions. + Experience selling into compliance -focused industries such as Financial Services, Healthcare, or Manufacturing is a… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career areas ... . This role within the Macro Sales & Trading Compliance Team is a Business Aligned Compliance ...and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...Banking, Commodities and brokerage operations. + Solid understanding of FINRA , SEC and NYSE rules and regulations + Knowledge… more
- SMBC (Jersey City, NJ)
- …the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified. This role will ... include conducting compliance risk assessments of certain US legal entities in...of either US securities/commodities laws and regulations (SEC, CFTC, FINRA ) or US banking regulations (eg, Federal Reserve) and… more
- Wells Fargo (Canfield, OH)
- …and various remediation projects to ensure timely completion, quality, and compliance + Lead, participate and collaborate with peers, colleagues and mid-level ... in adherence, development and interpretation of policies, procedures, and compliance requirements + Act as the primary point of...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66… more
- Wells Fargo (Minneapolis, MN)
- …risk, supervisory, and human capital matters + Collaborate with supervision, legal, compliance , human resources, credit, risk, branch, and hub leadership to identify ... Regional President to identify region risks + Partner with supervision, legal, compliance , human resources, credit, risk, market, complex, branch, and hub leadership… more
- Wells Fargo (Corte Madera, CA)
- …Brokerage Support team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support Manager and other ... ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures + Be responsible for execution...+ US only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7 and 63 or 7 and 66… more
- Wells Fargo (New Orleans, LA)
- …and present analysis through meaningful statistics + Develop expertise in firm, compliance and regulatory policies and procedures + Collaborate and consult with ... experience, education + US Only: Successfully completed Financial Industry Regulatory Authority ( FINRA ) Series 7, 9/10, and 66 examinations (or FINRA recognized… more
- Wells Fargo (Charlotte, NC)
- …Consultant and the AI Middle Office Support Team + Ensure adherence to compliance regulations and policies within the Alternative Investments product area + Lead and ... partner on projects teams + Ensure adherence to compliance regulations and policies within Business Growth Strategy functional...of contact management systems, such as Sales Force + FINRA registration including Series 7 (or FINRA … more
- Wells Fargo (Charlotte, NC)
- …to deliver training, education, and strategic support to advisors. + Ensure compliance with regulatory requirements and internal policies across all activities. + ... demonstrated through work experience, military service, or education. + Successfully completed FINRA Series 7 Series exam to qualify for immediate registration (or … more