- Equitable (Charlotte, NC)
- …a resource for compliance counsel and field management regarding compliance issues. + Provide close oversight over regulatory inquiries and examinations. ... Compliance Team and enjoy working for a leading financial company with an amazing and diverse culture! We...making effective judgments as to prioritizing and time allocation. ** Regulatory Environment - Financial Services:** Knowledge of… more
- TD Bank (Charlotte, NC)
- …in rendering advice and counsel to business lines or assigned areas, on compliance matters and regulatory risks which may impact performance of the business ... **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and...TD Wealth Management Services Inc) with independent and complex regulatory regimes. The Financial Advisors, Relationship Managers,… more
- TD Bank (Charlotte, NC)
- …in rendering advice and counsel to business lines or assigned areas on compliance matters and regulatory risks which may impact performance of the business ... of EGRC frameworks and standards, promoting a culture of regulatory compliance , accountability, and operational excellence. This...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more
- American Express (Charlotte, NC)
- …business specific compliance expertise, particularly in relation to identifying where compliance and regulatory risk is present in BU process and controls, ... related BU issues. + Support the mapping of compliance and regulatory risk to RCSA controls.Partner...business partners across the Enterprise such as the General Counsel 's Organization, Audit, and 2LOD Global Compliance … more
- First Horizon Bank (Raleigh, NC)
- …this position: + Bachelor (4-year college) degree and 4-6 years of Financial Institution experience required. Risk management and/or compliance background ... required (2-4 years). Background in preparing for internal ( Compliance Testing and/or Audit) and external ( regulatory ) examinations preferred. + Strong… more
- MSC Industrial Supply Co. (Davidson, NC)
- …of the business. + Ability to develop and effectively communicate sound regulatory advice and/or policies including best practices, compliance objectives and ... SUMMARY:** The success of the Director of Supply Chain Compliance will be defined by their ability to develop...and procedures to ensure that the organization complies with regulatory requirements and company policies. The role monitors business… more
- TD Bank (Charlotte, NC)
- …+ 10+ years of relevant experience **Preferred Qualifications:** + Consumer compliance experience, regulatory knowledge, audit experience + OCC/FINRA/SEC/CFPB/ ... to senior management + Acts as a strategic audit advisor by providing counsel and guidance on audit issues; leads relationships with key enterprise partners and… more
- Veterans Affairs, Veterans Health Administration (Asheville, NC)
- …virtual position. Position Description/PD#: Health System Specialist (Corporate Compliance Investigations Coordinator)/PD044820 Financial Disclosure Report: Not ... System (WNCVAHCS) in Asheville, NC. The position serves as the Corporate Compliance Investigations Coordinator (CCIC) in the Corporate Compliance section (CCS),… more
- Humana (Raleigh, NC)
- …community and help us put health first** The Lead Actuary, Risk and Compliance is responsible for the overall management and oversight of actuaries and/or support ... risks. Identifies and analyzes potential risks and estimates the potential financial consequences, develops and recommends controls and cost-effective approaches to… more
- USAA (Charlotte, NC)
- …expert counsel and recommendations to senior management regarding accounting, financial analysis, and reporting on policies and practices. We offer a flexible ... USAA?** At USAA, our mission is to empower our members to achieve financial security through highly competitive products, exceptional service and trusted advice. We… more