- 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
- TD Bank (Charlotte, NC)
- …that support wealth management operations + S7, S24, S27, Life & Health with detailed understanding of Administration and FINOP requirements under pertinent regimes ... + Prior engagement with regulators (eg, FINRA, SEC, OCC ) + Exceptional problem solving and analytical skills (issue...incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid… 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
- 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, ... CRCM, etc.). + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker-dealer and ABS activities. +...following benefit plans and programs offered to employees. + Health benefits + 401(k) Plan + Paid time off… 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...you and your loved ones' physical, financial, and mental health , as well as providing the flexibility you need… 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 ... + Commitment to diversity, equity, and inclusion. At Novant Health , one of our core values is Belonging. By...communicate clearly. Ready to Make a Difference? Join Novant Health 's innovative approach to healthcare, a team where your… more
- American States Utility Services (Fort Bragg, NC)
- …procedures are being followed. This includes working closely with the Environmental Health and Safety Team* Supports Environmental Health and Safety Supervisors ... resources* Works with Construction Superintendents and ASA's to identify vendors at all OCC locations* Must be willing to travel as required by project/job needs*… more
- TD Bank (Charlotte, NC)
- …Office applications.** + **FINRA license Series 7, 63 &24** + **Life and Health insurance license** + **Experience working with in the banking trust and investment ... area; especially with in the OCC regulatory frame work** **Customer Accountabilities:** + Works with...incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid… more
- TD Bank (Charlotte, NC)
- …management and regulators** + **FINRA series 7 and 24** + **Life and Health Insurance License** + **Ability to research, interpret and summarize relevant regulatory ... **Experience with regulatory bodies like the Office of Currency Comptroller ( OCC ), Securities and Exchange Commission (SEC) and Financial Industry Regulatory… more