Charlotte, North Carolina, United States Hybrid / WFH Options
NTT DATA
in Risk and/or Compliance supporting the Financial Services industry - Experience in one or more of the areas below: - Capital Market Regulations, including FINRA, SEC, DTCC, etc. - Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening - Fraud Management, including synthetic and digital fraud - Governance Risk more »
in Risk and/or Compliance supporting the Financial Services industry - Experience in one or more of the areas below: - Capital Market Regulations, including FINRA, SEC, DTCC, etc. - Financial Crimes, including AML Risk Assessment, KYC (CDD+EDD), transaction monitoring and sanctions screening - Fraud Management, including synthetic and digital fraud - Governance Risk more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
Bachelor's degree, business or finance preferred. 2+ years customer service experience in financialindustry Experience trading in equities, fixed income and options preferred FINRA Series 7 and Series 63 required . FINRA fingerprinting upon hire What will set you apart Demonstrate enthusiasm for providing quality service in a professional more »
Littleton, Colorado, United States Hybrid / WFH Options
Empower
met. Field escalated issues from representatives, clients, and participants. Identify trends in escalated issues and proactively address staff and customers. What You Will Bring: FINRA Series 7, 24, 63 and 65/66 registrations required within corporate-established timelines FINRA Fingerprinting required CSA (Certified Senior Advisor) designation within corporate-established more »
