- Wells Fargo (Charlotte, NC)
- …representatives (eg, financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange ... work experience, training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and… more
- TD Bank (Charlotte, NC)
- …payments, ensuring business practices align with applicable federal and state regulatory requirements. The position requires strong regulatory knowledge, issue ... Provide oversight and independent challenge on business activities and initiatives with regulatory impact. + Serve as a compliance advisor to business partners… more
- City National Bank (Charlotte, NC)
- …equivalent * Minimum 7 years of lending, compliance, and regulatory reporting . * Minimum 5 years of financial services experience *Additional Qualifications* ... ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for… more
- Truist (Charlotte, NC)
- …This is a Senior role and key contributor to the Truist second line-of-defense (LoD2) Regulatory reporting and data testing team (RDT) team reporting to the ... test planning and development, methodology, implementation,, execution, and results reporting and Issue oversight. Includes staffing, training and readiness,… more
- American Express (Charlotte, NC)
- …materials related to credit and fraud decisioning **Required Qualifications:** + Deep regulatory knowledge of the financial regulations applicable to the ... regulatory frameworks, and/or operational standards + Experience within financial services industry + Strong analytical and problem-solving skills, with an… more
- City National Bank (Charlotte, NC)
- …Issue Management, Scenario Analysis, Risk Appetite, Products and aggregating and reporting of operational risk information to the Management Risk Committee, Risk ... and assessment; risk measurement; risk controls; and risk monitoring and reporting to improve operational resilience. WHAT WILL YOU DO? All responsibilities… more
- Eaton Corporation (Pinehurst, NC)
- …with GAAP and corporate policies and procedures to guarantee the integrity of financial reporting . * Ensure that the internal control environment is adequately ... reporting , legal entity implications. + Working knowledge of financial and ERP systems. + Pronouncements of external ...financial and ERP systems. + Pronouncements of external regulatory bodies, such as Financial Accounting Standards… more
- TD Bank (Charlotte, NC)
- …of risk management governance, programs, policies, practices, operating frameworks & reporting for business supported and/or area of discipline + Knowledge of ... + Advanced skill in using analytical software tools, data analysis methods and reporting techniques + Skill in using computer applications including MS Office +… more
- Bank of America (Charlotte, NC)
- …of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities + Assists in the ... are guided by a common purpose to help make financial lives better through the power of every connection....**Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management… more
- USAA (Charlotte, NC)
- …USAA?** At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice. We ... within a risk and compliance framework. This role ensures adherence to regulatory requirements and USAA's policies and procedures. The advisor is responsible for… more