• RNDIP Compliance and Oversight Consultant

    SolomonEdwards (Raleigh, NC)
    …Non-Deposit Investment Products (RNDIP) oversight program, ensuring alignment with OCC guidelines while embedding regulatory requirements into operational practice. ... the lead resource for RNDIP program implementation, ensuring full alignment with OCC regulatory requirements. * Partner with the Broker/Dealer oversight function and… more
    SolomonEdwards (07/30/25)
    - Related Jobs
  • Manager: Business Disruption & Operational…

    American Express (Charlotte, NC)
    …Management, etc. + Support compliance with resilience-related regulations and standards (eg, OCC Bulletin 2020-94, FFIEC Handbooks, GLBA, etc.) to meet legal and ... + Knowledge of relevant policies & regulations (eg, FRB SR 2020-24/ OCC 2020-94, OCC Heightened Standards, FFIEC IT booklets, DORA) + Experience with Governance,… more
    American Express (08/08/25)
    - Related Jobs
  • First Line Risk Sr Manager - Embedded Banking

    Citizens (Charlotte, NC)
    …compliance, reputational) and risk management methodologies, including COSO and OCC Heightened Standards. + Payment Products: Foundational knowledge of core ... Familiarity and staying updated with relevant banking regulations (FRB, OCC ) and compliance requirements, specifically Anti-Money Laundering (AML). Special industry… more
    Citizens (08/08/25)
    - Related Jobs
  • Director, Business Disruption & Operational…

    American Express (Charlotte, NC)
    …management. + Support compliance with Resilience-related regulations and standards (eg, OCC Bulletin 2020-94, FFIEC Handbooks, DORA, GLBA, etc.) to meet legal ... of laws, regulations, and industry frameworks (eg DORA, FRB SR 2020-24/ OCC 2020-94, OCC Heightened Standards, FFIEC IT booklets). + Working knowledge of one… more
    American Express (08/08/25)
    - Related Jobs
  • Head of Investment Products

    Wells Fargo (Charlotte, NC)
    …**Regulatory & Risk Oversight** + Ensure all products comply with FINRA, SEC, OCC , and other regulatory body requirements. + Work closely with Legal, Compliance, and ... and retaining high-performing teams + Direct regulatory experience encompassing OCC , Federal Reserve, FINRA, and/or SEC compliance + Comprehensive investment… more
    Wells Fargo (08/08/25)
    - Related Jobs
  • Lead IT Risk Strategy

    City National Bank (Concord, NC)
    …messages to Senior Managers/Leaders and Regulators (Office of Comptroller of the Currency ( OCC ); Federal Reserve Board (FRB etc.) * Use a combination of soft skills, ... to senior managers and regulators (Office of Comptroller of the Currency ( OCC ); Federal Reserve Board (FRB etc.) * Deep understanding of regulatory requirements… more
    City National Bank (08/07/25)
    - Related Jobs
  • Manager IT Risk Strategy

    City National Bank (Concord, NC)
    …messages to Senior Managers/Leaders and Regulators (Office of Comptroller of the Currency ( OCC ); Federal Reserve Board (FRB etc.) * Use a combination of soft skills, ... to senior managers and regulators (Office of Comptroller of the Currency ( OCC ); Federal Reserve Board (FRB etc.) * Deep Understanding of regulatory requirements… more
    City National Bank (08/07/25)
    - Related Jobs
  • Senior Quantitative Model Validation Analyst…

    US Bank (Charlotte, NC)
    …the Bank's Financial Crimes (Anti-Money Laundering, Economic Sanctions/OFAC), adhering to OCC 2011-12 Regulatory Guidance and USB's Model Risk Management Policy and ... model owners, developers as well as interface with key stakeholders, regulators ( OCC /FRB), and internal auditors to discuss the justification and reasoning behind… more
    US Bank (07/24/25)
    - Related Jobs
  • Financial Advisor

    TD Bank (Charlotte, NC)
    …state, SRO regulations and Firm policies related to all business activities (eg OCC , SEC, State Insurance Commissioners, NY Department of Financial Services, etc.) + ... shares information and knowledge, and proactively learn from the expertise of other ** OCC Language:** + This position is with a FINRA member, broker and/or dealer… more
    TD Bank (07/22/25)
    - Related Jobs
  • Fiduciary Risk Officer

    US Bank (Charlotte, NC)
    …regulatory requirements. Provides support in responding to internal audit and OCC examination inquiry of fiduciary products and services. Works collaboratively to ... and best practices related to fiduciary risk. Stay abreast of relevant OCC handbook requirements and regulatory changes and update risk management frameworks… more
    US Bank (07/12/25)
    - Related Jobs