- 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
- 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
- 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
- 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
- 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
- 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 (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
- 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
- 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
- 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