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Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ/branch inspections, firm element CE, email surveillance, information barriers, restricted/watch lists, institutional research, investment banking, and institutional sales.
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Knowledge and understanding of Branch Banking compliance controls, risk management, and loss prevention. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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Responsible for regulatory, legal and compliance issues including: Risk management for the Branch in regards to monitoring sales, human resources, and legal and regulatory practices. Non-producing Branch Managers must be responsible for fiscal management, personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and regulations.
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Wells Fargo is seeking a Senior Branch Premier Banker (SAFE) in Consumer and Small Business Banking, as part of Branch Banking. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
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About this role: Wells Fargo is seeking a Teller in Consumer and Small Business Banking, as part of Branch Banking. Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.
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Serco serves every branch of the U.S. military, numerous U.S. Federal civilian agencies, the Intelligence Community, the Canadian government, state, provincial and local governments, and commercial clients.
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About this role: Wells Fargo is seeking a Senior Branch Premier Banker (SAFE) in Consumer and Small Business Banking, as part of Branch Banking. In this role you will: Employees who are not fully licensed at the time of hire will participate in the Branch Banking Licensed Banker licensing program as a Senior Branch Premier Banker LP (SAFE.
Full-timeRemoteExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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Your continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator requirements. As a Branch Manager in Branch Banking, you will ensure the branch will meet and exceed customer expectations and will create a customer-obsessed culture in the branch.
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We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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HCO, Office of the Chief of Staff, Compliance & Risk Management Office, Compliance & Assessment Branch. Experience applying a wide range of advanced human resources (HR) laws, regulations, compliance, policies, and precedents and comprehensive knowledge of HR principles, practices, and procedures sufficient to plan and provide comprehensive HR management advisory and technical services, assess program compliance, and develop and implement recommendations to improve program compliance.
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This position requires compliance with the company and Federal Department of Transportation (FMSCA or PHMSA) drug testing policies and procedures for both pre-employment and continuing random. We are headquartered in Florida, with branch offices in Virginia, Texas, Maryland, Pennsylvania, Iowa and Utah. Primoris Distribution Services is an industry leader in the installation of gas lines (plastic and steel.
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Future, a division of Primoris Services Corporation, is a publicly owned and operated construction contracting company that provides both specific and turnkey services for its customers in the gas, oil, electric and telecommunications industry.
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Conduct facility audits for code compliance, design and security standards; identify opportunities for improvement. Promote branch office relationship programs and processes. Bachelor's Degree in Property Management, Architecture, Engineering, Interior Design, Construction, Construction Management or the equivalent combination of training, education, and experience.
$72,000 - $120,875 a yearExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Supports the Branch Manager with all aspects of branch operations, including loss control, compliance, and audit standards. As a Lead Associate - Operations in Branch Banking, you support the Branch Manager and Associates to ensure customer financial transactions are completed accurately and efficiently, while complying with all policies, procedures, and regulatory banking requirements.
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Ensures compliance with established policies and procedures including but not limited to safety (HACCP, OSHA) personnel, security, pest control and shrink control. Job Category : Assistant Branch Manager.
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branch compliance jobs in Great Falls, VA
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