- TD Bank (Charlotte, NC)
- …assess the effectiveness of operational procedures and controls related to regulatory compliance within business units of TD Bank and its affiliates. Testing ... and communicating with staff and senior management of the Bank with respect to regulatory compliance and risk matters. + Independently researches,… more
- TD Bank (Charlotte, NC)
- …staff and senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent professional decisions in ... **Job Description:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission...**U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and… more
- TD Bank (Charlotte, NC)
- …staff and senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent professional decisions in ... experience within bank compliance or bank audit, legal and regulatory environment, enterprise...compliance or bank audit, legal and regulatory environment, enterprise governance framework, products and services, policies,… more
- Wells Fargo (Charlotte, NC)
- …clients.** The successful candidate will play a critical role in supporting the bank 's ** regulatory compliance initiatives and mitigating financial crime ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- City National Bank (Charlotte, NC)
- …issues and obtain necessary documentation. * Ensure all insurance documents meet regulatory , legal, and bank -specific compliance standards. * Provide ... obtain necessary documentation. * Ensure all insurance documents meet regulatory , legal, and bank -specific compliance ...all insurance documents meet regulatory , legal, and bank -specific compliance standards. * Provide guidance to… more
- Fifth Third Bank, NA (Charlotte, NC)
- …FUNCTION: Investigates, monitors and reports on cases involving potential threats to the Bank to ensure compliance with regulatory requirements. Responsible ... (ie. Sanctions, AML, CDD, and/or CTR) to ensure strict compliance with regulatory standards, internal policies, and...works with the first line of defense for the bank . + May provide customer support to internal and… more
- US Bank (Charlotte, NC)
- …to practice law in at least one jurisdiction + Demonstrated experience with bank regulatory law including the Dodd-Frank Act, Federal Deposit Insurance Act, ... Group (LRG) to support the enterprise Finance group as well as the Bank 's business lines. The attorney will provide regulatory legal advice to senior… more
- TD Bank (Charlotte, NC)
- …Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure that all regulatory , compliance , audit, and ... client interaction and relationship management. + Deep understanding of regulatory compliance and risk management in the...leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we… more
- First Horizon Bank (Raleigh, NC)
- … Compliance and Internal Audit partners to ensure that the credit remains in compliance with Bank and regulatory policies. + Provide documentation to Loan ... at location listed in job posting At First Horizon Bank Operations, we are on a mission to deliver...executed leases and permanent lenders. + Maintain a working regulatory knowledge regarding, Flood Insurance, General Insurance, Title Issues,… more
- City National Bank (Charlotte, NC)
- …is a plus) * Minimum 10 years of experience in compliance , risk, legal, regulatory and/or related bank regulatory experience * Minimum 7 years leading ... GRC program. The position will closely coordinate with the Bank 's and RBC US/CUSO's Regulatory Relations and...that may impact their relevant business operations from a compliance perspective; actively monitor and report on regulatory… more