- SMBC (Charlotte, NC)
- …and vulnerability assessments to assess internal security procedures and compliance requirements. * Work with relevant internal IT Application, Infrastructure, ... (Perimeter security, Identity Management and Governance, Privileged Account Management, Compliance , Penetration testing, Encryption, Cloud Security, Incident Response, Vulnerability… more
- US Bank (Charlotte, NC)
- …assets by providing governance and oversight on critical data and ensuring compliance with regulations. The Enterprise Data Governance (EDG) Senior Lead will support ... - Thorough knowledge of Data Management / Governance and Risk/ Compliance /Audit competencies - Understanding of the business line's operations,...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- PNC (Charlotte, NC)
- …and/or managed to ensure customer satisfaction. + Establishes and ensures compliance with internal policies and procedures. Recommends and influences policy and ... in this position. **Preferred Skills** Accountability, Customer Solutions, Ensure Compliance , Personal Initiative, Process Improvements, Results-Oriented, Risk Mitigation Strategies,… more
- SMBC (Charlotte, NC)
- …frameworks. + Create lineage visualizations and reports to support regulatory compliance , impact analysis, and data transparency. + Maintain metadata models, ... + Prior work in regulated industries (eg, finance, healthcare) with data compliance needs. SMBC's employees participate in a Hybrid workforce model that provides… more
- SMBC (Charlotte, NC)
- …This includes enterprise-wide initiatives in data governance, data management, and regulatory compliance , with a focus on key areas such as BCBS 239, Risk, ... Compliance , RWA, and Liquidity reporting. Our group is dedicated...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- US Bank (Charlotte, NC)
- …financial risk disciplines. + Lead regulatory interactions and ensure compliance with financial risk-related requirements. + Drive strategic initiatives, integrate ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- US Bank (Charlotte, NC)
- …and capabilities working alongside product marketing, analytics, risk management, compliance , and technology stakeholders in a fast-paced Agile environment. Strong ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more
- PNC (Fayetteville, NC)
- …ensuring audit controls are followed and the support and adherence to compliance and regulatory guidelines. Manages service and operational aspects of a Branch ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- Lincoln Financial (Greensboro, NC)
- …sell and penetrate assigned firms/institutions. + Adhere to LFDs Culture of Compliance . Comply with LFDs policies and procedures **What we're looking for** ... financial services industry that directly aligns with the specific responsibilities preferred + FINRA Series SIE, 6, 63, L&H + Bachelor's degree or equivalent work… more
- US Bank (Charlotte, NC)
- …Respond to unexpected events and findings + Adhere to team standards, compliance and regulatory items, passing all audits **Basic Qualifications** + Bachelor's ... Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank… more