- SMBC (Charlotte, NC)
- …Governance Program partners with business functions to provide support in the compliance with established RMDAD policies, procedures and standards as well as drives ... of the program, such as financial, management & board reporting, compliance , front-office transaction processing and/or capital & treasury management. Role is… more
- PNC (Charlotte, NC)
- …in PNC Midland's Insurance department you will be responsible for determining compliance of commercial insurance policies on real estate loans. Typical duties ... agents to obtain evidence of insurance, paying insurance premiums, insurance compliance , and working to resolve any noncompliant insurance items. Additional… more
- US Bank (Charlotte, NC)
- …Laundering (BSA/AML) Officer is accountable for overseeing the Financial Crimes Compliance program and leads Enterprise Financial Crimes Compliance . The ... jurisdictions and is accountable for coordinating, monitoring, and managing compliance with financial crimes laws. The BSA/AML Officer has...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- Regions Bank (Charlotte, NC)
- …and maintaining a program infrastructure that measures, monitors, and reports compliance with applicable laws, regulations and rules that govern a specific ... or program. **Primary Responsibilities** + Serves as subject matter expert in compliance and operational risk to effectively execute testing activities + Maintains… more
- SMBC (Charlotte, NC)
- …responsible for overseeing and managing the technology strategy for Financial Crimes Compliance (FCC). This role involves leading a team of technology professionals ... implement, and maintain systems and solutions that support the bank's compliance with Financial Crimes regulations, including Anti-Money Laundering (AML) and… more
- SMBC (Charlotte, NC)
- …individual as a Model Validation Analyst that will report to the Compliance Model Validation Manager, in the Risk Management Department, Americas Division. The ... Compliance Model Validation Analyst will perform the validation of...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- PNC (Charlotte, NC)
- …reporting to ensure adherence to complex deal structures and/or regulatory compliance requirements. + Consults and advises customers, investors, capital markets loan ... required + Reviews reports to identify exceptions, monitor quality and ensure compliance . Participates in risk mitigation activities. May serve as a subject matter… more
- US Bank (Charlotte, NC)
- …with Senior to Executive Leaders in their assigned Line of Business, Risk/ Compliance /Audit (RCA) Consultants, RCA Managers and other Senior RCA Managers to, ... management framework. Accountable for 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
- SMBC (Charlotte, NC)
- …requirements and translate them into functional specifications that support ESG compliance and governance. + Documentation: Oversee the creation and approval of ... on goals, timelines, and deliverables. Identify risks and issues, including ESG-related compliance risks, and lead resolution efforts. + Data Integration: Work with… more
- PNC (Charlotte, NC)
- …reporting to ensure adherence to complex deal structures and/or regulatory compliance requirements. + Consults and advises customers, investors, capital markets loan ... required + Reviews reports to identify exceptions, monitor quality and ensure compliance . Participates in risk mitigation activities. May serve as a subject matter… more