- 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
- 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