- 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
- Wells Fargo (Charlotte, NC)
- …RR, Volcker Rule, TRACE, and other applicable FINRA, SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, ... or certification (JD, CRCM, etc.). + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer and ABS activities. + Familiarity with traditional… 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
- City National Bank (Charlotte, 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
- Novant Health (Charlotte, NC)
- …Department: Clinical Laboratory Shift: Part Time - 2x12 hr/wk; 6a to 6:30p (varied days), w/ occ wknds & hol. Elevate Your Lab Career at Novant Health! Why Join Us? ... At Novant Health, we're redefining healthcare by integrating advanced laboratory science into patient care. As a Medical Lab Scientist I, you'll be at the forefront of this mission, leading complex analyses and ensuring the highest quality standards. What… more
- US Bank (Charlotte, NC)
- …oversight exercised by the Office of the Comptroller of the Currency ( OCC ), Federal Reserve Bank (FRB), and the Consumer Financial Protection Bureau (CFPB), ... Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), and other financial regulators. . Thorough knowledge of US Bancorp operations, policies, and procedures. Advanced degree or certifications, including JD or MBA. If there's… more