- Equitable (Charlotte, NC)
- Regulatory Affairs Paralegal ( 250000HV ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... Law Department's Mission is to Serve as Equitable's trusted counsel ,** **_empowering Equitable to pursue its noble purpose by...Legal Operations Team and enjoy working for a leading financial services company with an amazing and diverse culture!… 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 ... with staff and senior management of the Bank with respect to significant regulatory compliance risk matters. + Empowered to make prudent professional decisions… more
- TD Bank (Charlotte, NC)
- …for the Company and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities across various ... end, the incumbent will work with Oversight Functions (designated Regulatory Compliance Management accountability for areas of...regulatory research that may involve internal or outside counsel or third party assistance + Stays current on… more
- American Express (Charlotte, NC)
- …Qualifications:** + 5 years in Compliance or related activities within financial services industry, with demonstrated regulatory knowledge of and expertise ... digital and mobile banking products and platforms preferred. + Certified Regulatory Compliance Manager (CRCM) or similar professional certification preferred.… 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....business partners across the Enterprise such as the General Counsel 's Organization, Audit, and 2LOD Global Compliance … more
- American Express (Charlotte, NC)
- …limited to: Internal Audit, Independent Compliance Testing team, General Counsel 's Organization, Operational Risk, Control Management, Financial Crimes ... oversight, challenge, and guidance to GCS Marketing business stakeholders on compliance / regulatory requirements applicable to marketing projects and strategies.… more
- Robert Half Legal (Charlotte, NC)
- …Thrive Here If You Have: + 5+ years' experience in compliance or regulatory roles within the financial services sector + Deep understanding of financial ... to SEC regulations ✔️ Prepare for SEC audits, annual compliance reviews, and monitor financial rules like...(preferred) Education: + Bachelor's degree required; advanced certifications in regulatory compliance are a plus ✨ Ready… more
- Stryker (Charlotte, NC)
- …and accountability for the accuracy and completeness of documentation to ensure compliance with internal standards and regulatory requirements. + **Analyze ... regulations) and Stryker's businesses and related operations in order to advise Compliance Officers and business units on regulatory changes. + **Promote… 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