- Truist (Charlotte, NC)
- …Purpose: Mitigate risk for the firm from financial, reputation and regulatory items by ensuring that the advisors, OSJs and/or branch offices are in compliance with ... industry rules, regulations as well as internal policies and procedures. Responsibility: Perform supervisory functions that are routinely associated with those of a retail broker/dealer. **Please note: This role can be based anywhere in the Truist footprint.… more
- Truist (Charlotte, NC)
- …program activities as defined in policy and procedure(s). 10. Coach and develop Regional Supervisor teammates within the GCO Centralized Supervision Group. 11. ... line of business. This position will be responsible for leading a team of Regional Supervisors to support the execution of enterprise risk programs and focusing with… more
- Truist (Charlotte, NC)
- …States of America) **Please review the following job description:** The Central Supervisor 2 will work closely with Truist Financial Advisors, CSAs, Regional ... following regulatory policy as a Registered Principal for the firm. The Central Supervisor 2 role will perform quality control review and identify training needs.… more
- Wells Fargo (Charlotte, NC)
- …as well as serve as a primary business contact on key initiatives with Wealth , Compliance, Risk, regional management and other home office departments + Mentor ... Control Manager to join our Central Governance Team in Wealth and Investment Management as part of Wells Fargo...This role is primarily focused on managing the Qualified Supervisor review of the centralized intake of complaint matters… more