Compliance Manager, PCG Branch Exams - New York, NY

Job Description Summary · Under general supervision, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S. Exams incl ...

Under general supervision uses knowledge and skills obtained through experience to focus on virtual endpoint security reviews network security reviews and other technology-related security assessments within the branch office locations to review for compliance with firm policies ...

The Senior Advisor conducts onsite branch examinations of retail brokerage offices throughout the U.S., ensuring adherence to firm policies and federal/state regulations. · ...

Job Description Summary · Under intermittent supervision, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification in securities industry compliance or supervision to lead a team of geographically dispersed branch exami ...

Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite branch examinations of retail brokerage offices throughout the U.S. Exams include reviews of various superviso ...

Job Description Summary · Under administrative direction, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage offices throughout the U.S. Exams include r ...

The Compliance Advisor is responsible for executing the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country. · Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client ...

Job Description Summary · Under general supervision, uses knowledge and skills obtained through experience, specialized training and/or certification in securities industry to conduct remote and onsite branch examinations of retail brokerage offices throughout the U.S. Exams incl ...

This role will be responsible for interactions with branch personnel to perform the virtual inspections of branch technology equipment. · The role will require close coordination with branch examiners to ensure timely reporting of any issues noted. · Additional responsibilities m ...

Under general supervision, uses knowledge and skills obtained through experience to focus on virtual endpoint security reviews within the branch office locations to review for compliance with firm policies and procedures as part of the branch examination program. · The role will ...

Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country. · Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested. · ...

Under administrative direction, uses knowledge and skills obtained through experience to conduct onsite branch examinations of retail brokerage offices. Conducts reviews of supervisory systems, physical locations, onsite files and employee interviews to ensure adherence with firm ...

The Senior Advisor conducts onsite branch examinations of retail brokerage offices throughout the U.S. and ensures adherence with firm policies and federal regulations. · ...

This is an IT Security Auditor Branch Exams Analyst position that involves reviewing virtual endpoint security reviews, · network security reviews, · and other technology-related security assessments within PCG branch office locations. · The role requires close coordination with ...

Under general supervision uses knowledge and skills obtained through experience in securities industry to focus on virtual endpoint security reviews network security reviews and other technology-related security assessments within the PCG branch office locations. · Interactions w ...

The Branch Banking Client Consultant II-Licensed provides best in class experience by resolving concerns and providing various product details that focus on meeting the financial needs of our clients. · Digital products and self-service technologies. · ...

+We are seeking a Senior Branch Premier Banker to acquire new affluent consumer and small business customers.+Proactively acquire new affluent consumer and small business customers. · Divep existing relationships, · Maintain deep knowledge of Wells Fargo's banking solutions. · ...

Why Wells Fargo · Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader - we're a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is mu ...

We're seeking a Senior Branch Premier Banker (SAFE) in Consumer and Small Business Banking. · Proactively acquire new affluent consumer and small business customers. · Review and analyze moderately complex customer concerns. · ...

+ Proactively acquire new affluent consumer and small business customers · + Review and analyze moderately complex customer concerns for possible resolution through discretionary application of applicable resolution protocols · + Escalate banking related issues or business risks ...