- US Bank (Charlotte, NC)
- …CAS Senior Leadership **Preferred Skills/Qualifications:** + 10+ years of applicable risk/audit/ compliance experience + Proven leadership skills. Five or more years ... 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
- SMBC (Charlotte, NC)
- …coordination between business areas and infrastructure functions, including legal, compliance and risk management, to ensure alignment and introduce comprehensive ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- TIAA (Charlotte, NC)
- …influences organizational stakeholders and team members to ensure strict adherence to compliance . + Manages and develops performance of team by leading learning ... (Degree) Preferred **Work Experience** + 5+ Years Required; 7+ Years Preferred ** FINRA Registrations** + SRC Indicator: Series 7; Series 63; Series 65; Series… more
- PNC (Charlotte, NC)
- …As part of the first line of defense, supports risk management, compliance , and audit needs. + Supports business, financial, and customer experience results ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- US Bank (Charlotte, NC)
- …lifecycle of AI systems, from data ingestion to model deployment, while ensuring compliance with regulatory and enterprise standards. The position will serve as a ... 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 (Charlotte, NC)
- …industry and market developments, deal flow and regulatory requirements. Enforces compliance with policies and regulations. Works with stakeholders to develop/modify ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Charlotte, NC)
- …and managers. Creates, develops, executes and tracks exception rate policy and compliance . Leads policy enhancements. + Directs pricing inputs into annual planning ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- SMBC (Charlotte, NC)
- …* Security: Understanding of container security, RBAC, network policies, and compliance frameworks. * Networking: Solid grasp of Kubernetes networking, service mesh ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- PNC (Winston Salem, NC)
- …industry and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. Provides coaching to other team members. ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more
- PNC (Charlotte, NC)
- …and business partners **Job Description** + Independently assists in financial, compliance , and/or operational audit reviews, including the evaluation of design and ... Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority ( FINRA ), which prohibit the hiring of individuals with certain criminal history.… more