- 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)
- …Business Controls and COO teams as well as other support functions (eg, Compliance , Testing , Risk, Operations, Technology, Legal, Audit and Human Resources). ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… more
- Wells Fargo (Charlotte, NC)
- …Business Controls and COO teams as well as other support functions (eg, Compliance , Testing , Audit, Risk, Operations, Technology, Legal, and Human Resources). ... are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively… 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
- TD Bank (Charlotte, NC)
- …to guidelines and regulatory requirements under control partner direction (eg, Privacy, Legal, Compliance , Office of the Chief Data Officer , etc.) + Accountable ... review/pRCSA) and ensure adherence to guidelines and regulatory requirements under Privacy, Legal, Compliance , and Office of the Chief Data Officer + Oversees… more
- Wells Fargo (Charlotte, NC)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... credit officers, Chief Risk Officers (CROs), the Chief Credit Officer (CCO) and various other business partners with in-depth...for the Wholesale Credit portfolio. + Monitor portfolio, financial, market and economic data and assess the impact to… 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
- Veterans Affairs, Veterans Health Administration (Asheville, NC)
- …services due to policy changes). As assigned, functions as a Contracting Officer Representative (COR) and keeps appropriate certification levels. Uses knowledge of ... apply for this job. All applicants tentatively selected for VA employment in a testing designated position are subject to urinalysis to screen for illegal drug use… more