We apologize for the inconvenience but the job you are looking for has been filled or it has been removed by the recruiter. For your reference, the original listing is shown at the bottom of this page.
Listed below are the top 10 out of 60 listings that are in the same industry and location as the job you were looking for. To see more than 10 listings, click here to search similar jobs in Charlotte, NC
The Mortgage Loan Officer (MLO) proactively solicits new residential mortgage business and sells Bank of America mortgage products to meet established loan ...
Class starting on 4/3/2012 Works with new and existing clients to provide solutions through lending and companion products that require more complex sales techniques. ...
$25,000 $27,500 Base Salary, Plus Monthly Bonus!!! Mortgage Loan Officer Licensed Loan Officers looking to take their career to the next level with a company ...
We currently are seeking a highly motivated Manager to manage client engagement teams, work with a wide variety of clients to deliver professional services, ...
Being part of a dynamic, growing organization offers an exciting career path full of opportunity. Ernst Young s Financial Services Office (FSO) is a unique, ...
Piedmont Behavioral Healthcare - Kannapolis, NC US
Our Company: PBH is a North Carolina Managed Care Organization (MCO) focused on managed care plans and information technology solutions for the Medicaid and ...
Position Overview: RoundPoint Mortgage is in search of loan officers who are experienced at originating residential conventional and government mortgage loans ...
Job Description Regulatory compliance role with responsibility for developing, implementing and monitoring riskbased compliance programs to identify, assess ...
For your reference, we have included the original job posting below.
Inv Compliance Officer II
Job Number:
30521118
Company Name:
BB&T
Job Location:
Charlotte, NC US
Job Category:
Accounting & Finance
Inv Compliance Officer II
Job Requisition Number: 353288 Job Title: Inv Compliance Officer II Full Time/Part Time: Full Time Location: 200 South College Street Charlotte, North Carolina 28202-0000
Additional Job Details: External Description:
Line of Business: INVESTMENTS Job Category: Professional Primary Purpose:Responsible for ensuring the firm is in compliance with all Regulatory/Agencyrules. Ensure that any changes to Regulatory rules/regulations are implementedto the firm's policies and procedures. Assist Chief Compliance Officer with allspecial projects. Essential Duties and Responsibilities: Following is a summaryof the essential functions for this job. Other Duties may be performed, bothmajor and minor, which are not mentioned below. Specific activities may changefrom time to time. 1. Maintain and update the Firm's Written SupervisoryProcedures 2. Administer the Firm's Continuing Education (CE) program. 3. Read& distribute regulatory updates (Financial Industry Regulatory Authority(FINRA) Notices to Members, FINRA/SEC Updates and News Releases) 4. Responsiblefor Full-Service trade corrections & Letters of Indemnity 5. Overseeemployee account activity (FINRA Rule 3030) 6. Oversee employee privatesecurities transactions (FINRA Rule 3040) 7. Serves as designated ElectronicStorage Principal 8. Work closely with Corporate Compliance to ensure compliancewith bank regulators 9. Review & approve bank's marketing materials &web-sites for IS related material originated by BB&T Marketing akpoint Project and other Special Projects 11. Customer Complaints: Researchall complaints and respond to client in writing Handle complex Complaintselevated from the Compliance Officer I Respond to Regulatory body (Insurance,FINRA, SEC, and State) 12. Generate list of disciplined firms under FINRA TapingRule (FINRA Rule 3010) Required Skills and Competencies: The requirements listedbelow are representative of the knowledge, skill and/or ability sonable accommodations may be made to enable individuals with disabilities toperform the essential functions. 1. Four-year college degree in business relatedmajor or equivalent education and work-related experience. 2. Advancedsecurities and insurance product knowledge 3. Advanced knowledge of securitiesrules and regulations 4. Series 24 FINRA General Securities Principal License ies 7 & 63 FINRA Registered Representative License and State License e Accident and Health Insurance license. 7. Five years experience in thesecurities industry. Desired Skills: 1. Four-year college degree in businessrelated major or equivalent education and work-related experience. 2. Advancedsecurities and insurance product knowledge 3. Advanced knowledge of securitiesrules and regulations 4. Series 24 FINRA General Securities Principal License ies 7 & 63 FINRA Registered Representative License and State License e Accident and Health Insurance license. 7. Five years experience in thesecurities industry.
