- TD Bank (Charlotte, NC)
- …the first and second lines of defense. **Job Description Summary:** The Senior FCRM Testing Analyst executes independent testing of FCRM controls / systems ... & Scope:** + Works Independently as a subject matter expert regarding assigned testing areas and objectives, including related regulatory requirements + Develops… more
- Truist (Charlotte, NC)
- …the implementation and monitoring of governance programs related to Truist's regulatory reporting function. Such programs include effectiveness testing , risk ... 1. Execute first line of defense activities related to regulatory reporting compliance with operational risk guidelines....in the planning and execution of walk through and testing for specific risk programs. 5. Foster relationships between… more
- TD Bank (Charlotte, NC)
- …**Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as ... ethics and compliance across the organization to manage and mitigate regulatory compliance and conduct risks;** + **Contribute to growth, innovation and… more
- Guardian Life (Raleigh, NC)
- …to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst , Park Avenue Securities, and Park Avenue Investment Advisory, you will ... conduct branch office inspections using risk-based testing methodologies to ensure compliance with FINRA...in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a… more
- American Express (Apex, NC)
- …interpretation, regulatory change implementation, and incident response. + Support compliance testing , audit readiness, and business responses to ... detail oriented and proactive First Line of Defense (1LOD) Compliance Senior Analyst to support the business...and internal policies, working closely with both business and compliance partners. The ideal candidate has strong regulatory… more
- Coinbase (Charlotte, NC)
- … Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently ... deliver high-quality resolutions. As a Compliance Lead Analyst , Compliance Operations...Additionally, you will be proactively detecting emerging risks, optimizing compliance processes, and testing new tools and… more
- Coinbase (Charlotte, NC)
- …* Conduct investigative review and analysis in support of company's BSA/AML regulatory compliance policies and programs including investigating automated alerts ... Compliance team is essential in ensuring that our global CX Compliance Operations function efficiently, comply with regulatory requirements, and consistently… more
- Raymond James Financial, Inc. (Raleigh, NC)
- …of the following corporate home office locations: Memphis, TN or Southfield, MI. The Regulatory Operations Analyst ( _CAT/CAIS Reporting Analyst_ ) plays a key ... role in supporting the firm's compliance with non-financial regulatory reporting requirements. Leveraging...Analyst in the design, planning, and execution of testing strategies; under direct supervision, may lead the … more
- Coinbase (Charlotte, NC)
- …* Conduct investigative review and analysis in support of Coinbase's BSA/AML regulatory compliance policies and program including investigating automated alerts ... with substantive questions about process or procedure. Build strong relationships with Compliance partners and provide clear guidance to your team to resolve… more
- Coinbase (Charlotte, NC)
- …is expected and fully supported. You will be a part of the Compliance Operations Quality Assurance team, which is responsible for conducting Quality Assurance audits ... transaction monitoring system (TMS) cases, working with production teams from CX and Compliance . In your day-to-day role, you will be responsible for auditing TMS… more