- Vanguard (Charlotte, NC)
- …Cash+ Program is a first-of-its-kind offer, and we're looking for a Compliance Specialist to help establish the monitoring and testing function that will support ... compliance standards. + Identifies and implements corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for… more
- PNC (Farmers Branch, TX)
- …have an opportunity to contribute to the company's success. As an LOB Risk Specialist Sr. within PNC's Technology organization, you will be based in Pittsburgh, PA, ... as usual activities. Identifies risk, assesses impact and makes recommendations on resolution . Reports and escalates risk and program compliance as appropriate. PNC… more
- US Bank (Fargo, ND)
- …we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our ... as write letters/emails to customers notifying them of the resolution of their complaint. Along with addressing each customer...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Edward Jones (Tempe, AZ)
- …28-Jul-2025. The posting may close early due to the volume of applicants. Tailored BOA Support Specialist - Tailored Branch Support - On Call The Service ... Division is seeking a Tailored BOA Support Specialist to provide remote Branch Office...Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding… more
- Atria Wealth Solutions (Raleigh, NC)
- …or SEG location seminars. + Working with other advisory team members, the Planning Specialist , and the departmental support personnel to meet the needs of our ... a concern or problem and seeing it through to resolution . + Someone who is excited by the opportunity...Business, Finance, or Insurance or equivalent work experience + FINRA series 7, 63/65 (or 66) + NC Life,… more
- Truist (Charlottesville, VA)
- …(ex. Wealth Region Director, Complex Managers) who are designated to support client service and business development efforts (eg banking, mortgage, planning, ... insurance. 5. A minimum of Securities Industry Essentials (SIE), FINRA Series 7, Series 66 or 65/63, and Series...to deliver premier levels of industry leading service, problem resolution , and advanced sales functions. 8. Demonstrated at least… more
- Bank of America (San Francisco, CA)
- …to further develop and enhance existing client relationships. He or she provides specialized support as a Specialist /Manager in any one of the teams specialized ... managers, product specialists and/or team Senior Wealth Planner and Investment Management Specialist to support the coordination all sales and service… more
- US Bank (Tempe, AZ)
- …we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our ... (PWM) Client Services Team Leader is responsible for leadership of the support staff for Private Wealth Management. Has direct responsibility for overseeing the… more
- US Bank (Minneapolis, MN)
- …we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our ... for this career path.** US Bank is seeking a detail-oriented Project Specialist with solid project management and excellent project communication experience to… more
- Bank of America (Pennington, NJ)
- …and testing, or law enforcement liaison responsibilities in an investigative support role **Required Qualifications:** + Minimum 5 years' experience in financial ... AML, Risk, or Compliance experience and/or knowledge of financial crimes typologies + FINRA licenses including the SIE or Series 7 at minimum, or related experience… more
Recent Jobs
-
Asset Management - Product Manager Client Service Experience - Executive Director
- JPMorgan Chase (New York, NY)