- TD Bank (Charlotte, NC)
- …oversight through management of the policy and training exemption governance and reporting processes to the Compliance Senior Executive Team (and related ... enthusiastic colleagues dedicated to setting new industry standards. The Compliance Regulatory Change Office (CRCO) supports TD business lines in identifying,… more
- American Express (Charlotte, NC)
- …applicable to Finance organizations (eg, Regulation YY, Bank Holding Company Regulatory Reporting requirements, Basel, SEC, etc.) + Experience designing ... Finance organization drives performance while upholding the Company's commitment to regulatory compliance and financial integrity through strategic collaboration… more
- Citigroup (Charlotte, NC)
- …Chief Risk Office ("FINCRO") organization is responsible for second-line oversight of regulatory capital management, including the measurement and reporting of ... includes both _ex-ante_ and _ex-post_ independent review and challenge of Citigroup's regulatory capital calculation and reporting processes and capital planning… more
- TD Bank (Charlotte, NC)
- …Currency Comptroller (OCC), Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority** **(FINRA)** **Customer Accountabilities:** + ... timely fashion + Guides and complements the assigned portfolio in terms of financial , regulatory and risk management requirements + Interacts with control… more
- US Bank (Charlotte, NC)
- …advance US Bank's positions. + Provide legal support and guidance on enterprise-wide regulatory reporting and compliance projects. + Review and analyze ... as the Bank's business lines. The attorney will provide regulatory legal advice to senior management on...12+ Years of experience as an attorney in a regulatory agency, law firm supporting financial institutions,… more
- Bank of America (Charlotte, NC)
- …profile, enterprise-wide focus areasand activities across the CFO - US Regulatory Reporting organization, which includes governance, interpretation of report ... to data capture + Leads the execution of multiple regulatory reporting audits, and ensures that audit... (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting … more
- TD Bank (Charlotte, NC)
- …**Experience with management reporting / reporting routines (excluding Board reporting ), regulatory exams, or senior -level stakeholder management.** + ... and enterprise as appropriate. **We are seeking a dynamic and forward-thinking Senior Manager to lead the strategic development and initiative planning for the… more
- Lincoln Financial (Greensboro, NC)
- …for this opportunity. **Requisition #:** 74826 **The Role at a Glance** As a Senior Consultant, Fund Admin, Regulatory , you will prepare complex regulatory ... documents and all exhibits, including complex contracts. * Researching, evaluating and reporting on regulatory matters related to mutual fund registration… more
- TD Bank (Charlotte, NC)
- …Personal Lending. This position plays a critical role in ensuring adherence to regulatory requirements such as the Fair Credit Reporting Act (FCRA/Reg V), ... about creating a culture of compliance that will cascade throughout the organization. The Senior Compliance Business Manager will serve as a key member of the second… more
- TD Bank (Charlotte, NC)
- …**Experience with management reporting / reporting routines (excluding Board reporting ), regulatory exams, or senior -level stakeholder management.** + ... as appropriate. **Job Overview:** We are seeking an experienced and proactive Senior Manager to lead program operations for Compliance Strategy & Operations and… more