- Equitable (Charlotte, NC)
- …+ Provide recommendations on the remediation of weaknesses, vulnerabilities to improve compliance . + Prepare clear and comprehensive audit reports by documenting ... of financial and operational concerns. + Understanding of complex audit and assessment risk-related issues through demonstrated experience in managing vendor… more
- TD Bank (Charlotte, NC)
- …regulatory environment and related implications to identity management, security and audit compliance . **Customer Accountabilities:** + Supports and performs ... Implementation of frameworks, standards, and processes to meet Banks Audit & Compliance requirements. + Supports any...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more
- Truist (Charlotte, NC)
- …the Financial Services industry 4. Master's degree in related discipline 5. Financial Risk Manager (FRM)/Certified Financial Analyst (CFA) or equivalent ... framework in the execution of enterprise, technology, operational, and compliance risk frameworks to align with second line of...well as other Committees, as applicable. 10. Assist with Audit and Regulatory Exam management. 11. Assist in thematic… more
- TD Bank (Charlotte, NC)
- …in compliance with applicable internal and external requirements (eg financial controls, segregation of duties, transaction approvals, and physical control of ... Quality Assurance Senior Business Management Specialist will have appropriate Audit or Risk and Controls subject matter expertise to...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …Reporting Analyst_ ) plays a key role in supporting the firm's compliance with non- financial regulatory reporting requirements. Leveraging advanced knowledge and ... : + Responsible for the production, validation and submission of non- financial regulatory reports (eg, Consolidated Audit Trail (CAT) Electronic… more
- Bank of America (Charlotte, NC)
- …in the representation of the reporting function to control partners (eg, Audit and Compliance ) * Identifies, tracks, and remediates errors, breaches, ... CFA, CPA) preferred * Experience in any of the following areas: Operations/Finance/Risk/ Compliance * Strong knowledge of financial markets, banking industry,… more
- US Bank (Charlotte, NC)
- …Banking stakeholders of various levels within the organization, including Corporate Compliance , Model Risk Management, Audit , Legal, and Business Line ... and businesses we serve to make better and smarter financial decisions and enabling the communities we support to...Fair and Responsible Banking Policy, Practice, and Model Review Manager and supports the US Bancorp's Company's Fair and… more
- Truist (Charlotte, NC)
- …centers of influence who will enhance business development efforts. 7. Work within existing audit , compliance and regulatory framework in order to ensure a high ... and/or Retail Lending experience) or one years' experience in a financial client relationship manager role. 3. Advanced knowledge of a broad range of personal… more
- Truist (Charlotte, NC)
- …spreading financial statements and risk ratings. 50% 2. Works with Portfolio Manager to build financial models based on client profile, industry dynamics, ... analytical support assigned to Dealer Services Portfolio Managers including analyzing financial statements and projections, utilizing financial models and… more
- Truist (Charlotte, NC)
- …Knowledge:** In-depth understanding of compliance in regulated industries (eg, financial services, healthcare). Experience working with audit and risk ... & Governance:** Define and implement observability governance frameworks, ensuring compliance with regulatory requirements (eg, FFIEC, OCC, Basel III, GDPR).… more
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