• IT Functional Control Officer

    SMBC (Charlotte, NC)
    …with regulations (eg, Swap Dealer recordkeeping, SEC and FINRA WORM compliance , FRB/OCC/FDIC Disaster Recovery testing ). * Prepare and present risk and ... Front Office Control Officers and AD-wide IT Control Officers. Assessments and monitoring of the control environment will be across information technology functions… more
    SMBC (09/26/25)
    - Related Jobs

  • Sr. Regulatory Reporting Controller

    Bank of America (Charlotte, NC)
    …regulatory returns for locally regulated legal entities including broker dealers, swap dealers and other legal entities. Key responsibilities include overseeing and ... requirements and effective challenge of results. + Drive identification, remediation, monitoring and escalation of issues impacting regulatory reporting as well as… more
    Bank of America (09/11/25)
    - Related Jobs