- TD Bank (Charlotte, NC)
- …of emerging issues and trends from key regulatory bodies including FINRA, SEC, OCC + Partners with Senior Executives across Consumer Distribution & AMCB to deliver ... experience + Extensive understanding of current compliance and regulatory issues ( OCC , SEC, FINRA, and State Securities Regulators) + In-depth knowledge of… more
- Regions Bank (Charlotte, NC)
- …+ Familiarity with regulatory requirements affecting financial institutions (eg, OCC , FFIEC, etc.). + Experience designing and executing Tabletop Exercises ... Crisis Management Framework, ensuring alignment with regulatory expectations (eg, FFIEC, OCC , etc.) and internal Enterprise Resilience strategy. + Develop and… 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
- Capco, a Wipro Company (Charlotte, NC)
- …deep subject matter expertise in operational resilience related regulations / guidance (eg, DORA, OCC , CFTC, PRA, BCBS, DFS 500, etc.) + Manage projects and teams of ... to commercial and retail banks, particularly rules/guidance from the Federal Reserve, OCC , and FDIC + Robust knowledge of banking products and services 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
- TD Bank (Charlotte, NC)
- …under pertinent regimes + Prior engagement with regulators (eg, FINRA, SEC, OCC ) + Exceptional problem solving and analytical skills (issue identification, problem ... and external partners + Able to work in an unstructured and fast paced environment ** OCC :** + This position is with a FINRA member, broker and/or dealer and is… more
- TD Bank (Charlotte, NC)
- …and regulatory alignment. The ideal candidate will bring: + **Experience with OCC regulatory expectations** , particularly around identity and access risk domains. + ... IAM, ability to engage with multiple stakeholders, experience with remediation under the OCC is very much needed. + Fast paced environment with multiple stakeholders… more
- US Bank (Charlotte, NC)
- …satisfy and document all programmatic efforts to ensure that US Bank meets OCC 2011-12 expectations and internal Model Validation standards. + Collaborate with Risk ... projects on time and within budget **Regulatory Knowledge:** + Knowledge of OCC and FRB standards associated with model development and validation, including data… more
- Truist (Charlotte, NC)
- …matters, including directly interfacing with external parties including the FRB, FINRA, OCC , State Regulators and other third party auditors. 6. Strong analytical ... Experience working for or with (significant interactions) regulatory agencies (FRB, OCC , FDIC) 5. Experience in establishing Corporate risk programs or initiatives… 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
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