- US Bank (Charlotte, NC)
- …responsibilities include:** + This role requires a strong background in capital markets operations , with a focus on fixed income settlements, dealer, repo and firm ... funding activity. + Leading daily operations of the Settlements & Operations team,...Supporting the development of an effective control framework meeting Audit , Compliance, and Regulatory requirements. + Contributing to people… more
- TD Bank (Charlotte, NC)
- …transparency and decision-making. A strong background in regulatory compliance management, risk, or audit within the banking sector and ability to thrive in a ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and Mass Affluent clients of TD Bank, NA encompassing banking , custom credit, asset management, securities, investment advisory and… more
- TD Bank (Charlotte, NC)
- …analytical models used for TD. The position reports to Senior Manager , Trading Surveillance and Insider Risk Models Validation. Detailed accountabilities include: ... reports with adequate information and justification to support validation conclusions and Audit / regulator review / assessment of validation process and validation… more
- TD Bank (Charlotte, NC)
- …reports with adequate information and justification to support validation conclusions and Audit / regulator review / assessment of validation process and validation ... from both Canadian and US regulators, internal and external audit in their review/ audit of risk models...Insider Risk Management, Trading Strategy and Algorithm, and FI operations + Proficient in relevant programming language & software… more
- TD Bank (Charlotte, NC)
- …Financial Crime Risk Management **Job Description:** The " FCRM KYC Quality Assurance Manager " is a member of the Financial Crime Risk Management (FCRM ) ... of Defense (2LoD) FCRM Function. The FCRM KYC QA Manager is responsible for the execution of the QA...effectively with key stakeholder groups such as Compliance, Legal, Audit , Risk + Coaches to ensure functional / operational… more
- Truist (Lumberton, NC)
- …Mid-level position to contribute to the success of Investment Portfolio Operations , Corporate Funding Operations or Collateral Management Operations ... time to time. + Contribute to the success of Investment Portfolio Operations , a priority one mission-critical function with $75+ billion in investment securities.… more
- Wells Fargo (Harrisburg, NC)
- …National Branch Network as part of the Consumer, Small and Business Banking division. This is an interim non-exempt position. Successful completion and certification ... of the Branch Manager Readiness program is a pre-requisite to transition into...procedures in alignment with applicable regulations, as well as audit and escalation procedures, and managing the allocation of… more
- TD Bank (Charlotte, NC)
- …team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about ... collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program… more
- TD Bank (Charlotte, NC)
- …team member has a chance to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance program. This not just about ... collaborative and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking compliance program… more
- Banc of California (Durham, NC)
- …BANC) is a bank holding company headquartered in Los Angeles with one wholly-owned banking subsidiary, Banc of California (the "bank"). Banc of California is one of ... the nation's premier relationship-based business banks focused on providing banking and treasury management services to small, middle-market, and venture-backed… more
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