- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... will help unlock your potential? Reporting directly to the Equitable Financial Chief Compliance Officer , the role is responsible for maintaining, developing and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... TRACE, and other applicable FINRA, SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities… more
- Bank of America (Charlotte, NC)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... Rate Risk framework, the management of Interest Rate Risk through the ALM securities portfolio, and any Price Risk created through hedging activities performed by… more
- Truist (Charlotte, NC)
- …**Please review the following job description:** Effectively manage overall operational and compliance risk related to SEC and Climate reporting for Truist. Ensure ... distributed to the Truist Board of Directors and Executive Leadership, Securities and Exchange Commission (SEC) and Federal Deposit Insurance Corporation (FDIC)… more
- Wells Fargo (Charlotte, NC)
- …practices in the businesses and shares its findings with the Chief Credit Officer and line of business management. RAR reports all significant credit issues to ... standards. + Assess the lending practices of the company's commercial loans and securities investments. + At times, serve as examiner-in-charge and direct a team of… more
- Ralliant (Raleigh, NC)
- …practices, including charters, policies, and insider trading programs. + Ensure compliance with NYSE listing standards, securities regulations, and disclosure ... Governance, this role will serve as a strategic partner on public company compliance , corporate governance, M&A, and financing activity. This is a high-impact role… more
- SMBC (Charlotte, NC)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Bank of America (Charlotte, NC)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... and performing review and challenge of regulatory rule interpretations and rule compliance documentation + Develop and demonstrate acumen for the identification of… more
- Bank of America (Charlotte, NC)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... goals. Influencing and negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and Banking) risk colleagues +… more