- TD Bank (Charlotte, NC)
- …ICFR SOX Testing is to carry out a testing of design and operational effectiveness of SOX/Internal controls over Financial Reporting and review testing performed by ... in accordance with ICFR Standards and draft findings with design and operational effectiveness testing **Key Accountabilities** : + Conduct audit work based on… more
- Wells Fargo (Charlotte, NC)
- …customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance), ... You will also have the support of a program manager and functional cohort to support you through your...Bank, and our digital and contact center teams and Independent Channels + Other lines of business include -… more
- UMB Bank (Raleigh, NC)
- … independent , quality control reviews of retail branch locations to identify operational and compliance risk within the retail branch. This associate works ... closely with the Compliance and Oversight Program Manager and reports to the Director of Compliance &...retail branch quality control review performed, including an overall risk rating articulating the level of risk … more
- PNC (Raleigh, NC)
- …or lead the department on special projects or assignments. + Using independent judgment to identify risks and mitigants, prepares offerings and/or scorecards, such ... as risk ratings, by analyzing credit, collateral strength and financial...the work of other underwriters and fill in for manager as required. + Contacts internal/external customers and other… more
- Capital One (Charlotte, NC)
- …Lending Audit team, the candidate will focus on audits that involve conducting operational , compliance, and risk management related audits for the Capital One ... deliver value-added opinions and recommendations. Audit's vision to provide high value, independent , proactive insights, to innovate with technology, and to be a… more
- TD Bank (Charlotte, NC)
- …and own the methodology for monitoring and testing by 2nd line including compliance risk and controls + Works with other second and third line functions, to support ... the second line testing function + Enforces standards for an effective risk -mediation process (for example, root-cause analysis and performance tracking) to ensure… more
- ThermoFisher Scientific (Wilmington, NC)
- …clinical research services direct, coordinate and manage the technical and operational aspects of projects, securing the successful completion of clinical trials. ... Trials Team.** This role is remote based in the US. Oversees operational excellence to ensure high quality deliverables and successful management of client… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …the traditional roles of the Financial Advisor, Service Associate and Branch Manager . Fosters and assists in the development of relationships with new clients ... processes and procedures are integrated and aligned with business practices to mitigate risk to the business. * Provides escalated support and guidance in dealing… more
- Banc of California (Durham, NC)
- …Member deals + Gather, review, and assess legal documentation to ensure operational feasibility, streamline execution logistics, and mitigate risk exposures; ... role in the future of Banc of California. Our core values - Entrepreneurialism, Operational Excellence, and Superior Analytics - empower us in creating a dynamic and… more
- ThermoFisher Scientific (Wilmington, NC)
- …Director encourages critical thinking in Project Leads, particularly regarding operational execution, financial negotiations, and risk management. Additionally, ... clinical research services direct, coordinate and manage the technical and operational aspects of projects, securing the successful completion of clinical trials.… more