- Atria Wealth Solutions (King, NC)
- …with CUSO Financial Services, LP (CFS) Allegacy Federal Credit Union is seeking a Financial Advisor to join their team in the King NC area. ABOUT ALLEGACY: Do you ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...various additional duties as may be assigned by the Program Manager. + Develop and maintain long-term relationships based… more
- USAA (Charlotte, NC)
- …the future of talent at USAA! We're hiring a Talent Assessment Advisor Lead (director level individual contributor) to enable data-driven talent decisions. This ... data into clear, actionable insights for both individual leaders and senior leadership. + Regularly evaluates the effectiveness of assessment programs, ensuring… more
- Truist (Charlotte, NC)
- …strengthen compliance with applicable regulations, policies, procedures and risk program requirements. 2. Partner with first and second line defense teammates ... review the following job description:** The Business Unit Risk Advisor I engages with Business Unit leadership in its...and controls as well as its execution of risk program requirements. Execute, facilitate and/or monitor execution of Risk… more
- First Horizon Bank (Charlotte, NC)
- …responsible for completing audit engagement assignments with minimal supervision. The Audit Sr. Advisor is expected to: + understand and identify the full range of ... risks related to processes, regulatory compliance , organization, policy, and technology; + evaluate control design...with internal audit methodology; + seasoned and strategically minded senior internal auditor with a deep understanding of banking… more
- First Horizon Bank (Charlotte, NC)
- …site at location listed in job posting. **Summary** : The Business Risk and Controls Advisor sits in the first line of defense and is responsible for executing risk ... first line of defense procedures that align with risk program and policy requirements. * Provide ongoing risk guidance,...assessment and remediation of findings, and provide updates to senior management. * Develop risk reporting that provides a… more
- Truist (Raleigh, NC)
- …management of risks and controls as well as its execution of risk program requirements. Execute, facilitate and/or monitor execution of Risk Program requirements ... Present risk aggregation, key risks and emerging risks to senior Business Unit Leadership. Identify and opine on remediation...risk appetite. + Opine on new or revised risk program requirements to confirm they are consistent with the… more
- Guardian Life (Raleigh, NC)
- …want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you ... of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated broker/dealer… more
- American Express (Apex, NC)
- …Express is seeking a detail oriented and proactive First Line of Defense (1LOD) Compliance Senior Analyst to support the business in managing compliance ... risk concepts into practical actions. **Key Responsibilities:** + Act as a compliance risk advisor to front-line business teams, helping them understand… more
- American Express (Charlotte, NC)
- …BU, including leading action plan management process and escalating issues to senior management **Reporting, Policies and Procedures:** + Compliance metrics ... related BU issues **Key Responsibilities:** + Act as a compliance risk advisor to front-line business teams,...Free and confidential counseling support through our Healthy Minds program + Career development and training opportunities For a… more
- Wells Fargo (Charlotte, NC)
- …commensurate with the business unit's risk appetite and all risk and compliance program requirements. **Applicants with Disabilities** To request a medical ... **About this role:** Wells Fargo is seeking a Senior Lead Credit Vendor Program Sales...**In this role, you will:** + Act as an advisor to senior leadership to develop or… more