- First Horizon Bank (Charlotte, NC)
- …the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, ... background preferred (2-3 years) + Background in preparing for internal ( Compliance Testing and/or Audit) and external (regulatory) examinations preferred. +… more
- Equitable (Charlotte, NC)
- Compliance Officer ( 25000075 ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... is based in our Charlotte, NC office. Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance , which is a part… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... including but not limited to the creation, enhancement and testing of surveillance modules around specific market ...compliance or regulatory organization + Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors… more
- Wells Fargo (Charlotte, NC)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... **About this role:** Wells Fargo is seeking a Lead Credit Risk Officer to join the Risk Rating Methodology (RRM) team in the Wholesale Credit Risk group in Corporate… more
- Wells Fargo (Charlotte, NC)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... role:** Wells Fargo is seeking a Lead Operational Risk Officer in Consumer, Small & Business Banking (CSBB) Operational...business lines + Design and develop the most complex testing strategies, methodologies and analyses + Consult with the… more
- Bank of America (Charlotte, NC)
- …Active Listening + Issue Management + Liquidity Management + Monitoring, Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift (United States of ... including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also… more
- Wells Fargo (Charlotte, NC)
- …audits the following businesses: Commercial Capital, Core Market , Middle Market , Specialized Industries, Treasury Management, Capital markets , Banking, and ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- City National Bank (Charlotte, NC)
- …of Bank personnel and outside contacts. * Experience with quality control, audit or compliance testing is preferred. * Familiar with FINRA and SEC AML rules ... compliance issuance monitoring, risk assessments, and internal controls testing ensuring that there are adequate processes, procedures and...service. Functions as a backup to the BSA Risk Officer in specific areas as necessary. What you will… more
- Bank of America (Charlotte, NC)
- …systems, processes and solutions across several lines of business (LOB) in compliance with applicable Enterprise and Chief Financial Officer Group policies. ... and support partners to sustain the change within the Liquidity, Capital and/or Market Execution functions of Treasury. The role will require project management and… more
- Truist (Charlotte, NC)
- …+ These may include: pro-forma projections for transaction, products, market segmentation strategies or acquisitions; income/expense or cash flow forecasts; ... forecasting and annual financial planning processes. + Work with Senior Financial Officer (SFO) and business unit (BU) partners to integrate business initiatives… more
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