- PNC (NC)
- …not be available in all geographic locations. The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience ... and have an opportunity to contribute to the company's success. As a Compliance Program Advisor , you will be within PNC's Retail Organization supporting the… more
- First Horizon Bank (Charlotte, NC)
- …responsible for completing audit engagement assignments with minimal supervision. The Audit Sr. Advisor is expected to: + understand and identify the full range of ... risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design adequacy in complex business processes, + perform… more
- Raymond James Financial, Inc. (Charlotte, NC)
- …distance learning, apprenticeship and training at the firm's international headquarters, the Advisor Mastery Program (AMP) offers a comprehensive education for ... the next generation of Raymond James Financial Advisors. The program takes a holistic approach by incorporating training for...Manager, and/or a team of Financial Advisors, the Financial Advisor Trainee will learn to build an individual practice.… more
- First Horizon Bank (NC)
- …within the company's footprint. **Summary** The Treasury Management (TM) Risk and Controls Advisor as a first line of defense role that is responsible for executing ... first line of defense procedures that align with risk program and policy requirements. + Provide ongoing risk guidance,...reporting that provides a holistic view of business unit compliance with risk programs, identification of top business unit… more
- Deloitte (Charlotte, NC)
- …and "tax controversy" pique your interest? Do you enjoy providing federal tax compliance and consulting services to large global and dynamic midsize banking and ... Services group, you will provide federal tax consulting and compliance services to a clients in the banking and...Attorney + Enrolled Agent + Certifications: + Chartered Financial Advisor (CFA) + Certified Financial Planner (CFP) + 5+… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …clients of the company by combining the traditional roles of the Financial Advisor , Service Associate and Branch Manager. Fosters and assists in the development of ... * Keeps abreast and maintains working knowledge of current Capital market news and how that can impact our...* Ensures firm and regulatory policies are followed within compliance standards. * Performs other duties and responsibilities as… more
- TIAA (Charlotte, NC)
- The Divisional Director, Advisor Consultants leads and develops a team of Advisor Consultants by implementing strategies across all channels to build ... This job leads strategy implementation, ensures talent development of Advisor Consultants and serves as a mentor and manager...stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by… more
- Truist (Charlotte, NC)
- …risks and controls across highly complex business area, while helping ensure compliance with enterprise compliance program requirements. Key responsibilities ... compliance with applicable regulations, policies, procedures and risk program requirements. 2. Partner with first- and second-line defense teammates across… more
- First Horizon Bank (Greensboro, NC)
- …and supported by a platform that has the resources, specialists, and intellectual capital to help you advise clients on achieving their desired goals. **ESSENTIAL ... + Expected to be the expert level "market moving" advisor with ability to handle the most challenging, sensitive...legal, operating and regulatory controls to manage risk and compliance . Works within the existing audit, compliance … more
- NetApp (Morrisville, NC)
- …, corporate governance, mergers and acquisitions, equity investments, equity plan compliance , capital markets activities, and executive compensation disclosure. ... corporate organization, securities law compliance , subsidiary maintenance and compliance , and capital markets activities + Excellent business judgment,… more