- PNC (Charlotte, NC)
- …and coaching to audit management and team members. COMPETENCIES Audit And Compliance Function - Knowledge of and ability to manage the major responsibilities, ... accountabilities, and organization of the Audit and Compliance (A&C) function or department. Auditing - Knowledge of organization's Internal Audit processes,… more
- US Bank (Charlotte, NC)
- …Adjudication Team. The role will partner with other Enterprise Financial Crimes Compliance (EFCC) departments and Business Lines to complete due diligence review and ... sanctions and list screening training manuals. + Actively ensures compliance with the US Bank Code of Ethics and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- MetLife (Cary, NC)
- …strategy for end user technologies that support operational efficiency, regulatory compliance , and customer service excellence. * Technology Leadership: Oversee the ... and continuous improvement, leveraging Agile and DevOps practices. * Risk & Compliance : Partner with Information Security and Risk teams to ensure all solutions… more
- JPMorgan Chase (Concord, NC)
- …if you are not currently registered, the Securities Industry Essential (SIE) exam, FINRA Series 6/7, state registration (including 63 or 66 if required) and Life ... completed within 180 days of starting the role + Compliance with Dodd Frank/Truth in Lending Act* + High...continued employment in this position would be contingent upon compliance with Truth in Lending Act/Dodd Frank Loan Originator… more
- JPMorgan Chase (Durham, NC)
- …within established risk parameters/tolerances and meet internal/external risk and compliance obligations, including completion of required training. + High school ... degree, GED, or foreign equivalent. + The Securities Industry Essential (SIE) exam, FINRA Series 6, state registration (including 63 if required), and Life licenses… more
- Nuveen Investments (Charlotte, NC)
- …such events. + Liaising with internal partners: Partnering with technology, compliance , legal, operations, portfolio management, trading, and other internal partners ... internal sales teams on the asset class. + Ensuring compliance with regulations: Collaborating with Compliance to...**Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63… more
- SMBC (Charlotte, NC)
- …risk management, internal audit, internal control, information security and regulatory compliance . As a product specialist, you will be responsible for configuring ... with Power BI. * General knowledge of GRC (Governance, Risk and Compliance ) industry. * Prefer experience with risk management, internal audit, internal control,… more
- City National Bank (Raleigh, NC)
- …Markets, Registered and Unregistered Fund Vehicles, Support Functions (Operations, Compliance , Risk)Thrives in a dynamic team-based environment, effectively manages ... all applicable risks (credit, liquidity, interest rate, price, operational compliance , strategic and reputation) and mitigating controls, designs comprehensive audit… more
- US Bank (Charlotte, NC)
- …Highlights_** + Partners with leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, and other RCA Managers to, depending on the ... management framework + Lead projects and/or activities that ensure compliance with applicable federal, state, and local laws and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Charlotte, NC)
- …of the Legal Regulatory Group, the Law Division, Risk Management and Compliance , Audit, Finance, and Government Relations when providing legal subject matter ... legal support and guidance on enterprise-wide regulatory reporting and compliance projects. + Review and analyze regulatory issuances and...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more