- TD Bank (Charlotte, NC)
- …findings, coordinates with the field on client response, prepares periodic reporting to multiple stakeholders, and manages ongoing marketing items to ensure ... compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, regulatory agencies and provides… more
- TD Bank (Charlotte, NC)
- …**Compliance-wide frameworks, guidelines and standards for testing, monitoring, risk assessment, reporting and other activities** + **Internal Audit, regulatory ... standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as… more
- TD Bank (Rutherfordton, NC)
- …+ Requires process management knowledge and a good understanding of the business and operational function areas supported as they lead the operational ... Description:** The Store Supervisor supervises day-to-day team activities to ensure operational excellence and compliance with policies and procedures to mitigate… more
- Truist (Charlotte, NC)
- …capabilities. 4. Excellent knowledge of financial transactions flow and their financial reporting and regulatory reporting impacts. 5. Previous experience ... financial line items related to all business lines. 2. Lead areas of accounting or reporting , both...with US Generally Accepted Accounting Principles (GAAP), IFRS, and regulatory requirements. 7. Work closely with Accounting Policy, Tax,… more
- American Express (Charlotte, NC)
- …establishing and overseeing robust decision-making processes that align with policies, regulatory frameworks, and/or operational standards. + Experience within ... Fraud Risk is looking for a Director, Compliance to lead a diverse team of high-performing professionals focused on...expertise, particularly in relation to identifying where compliance and regulatory risk is present in BU process and controls.… more
- TD Bank (Charlotte, NC)
- …in line with the Bank's risk philosophy and strategic direction. **Job Description** Reporting to the Head of Compliance, Regulatory Inventory and Regulatory ... role will be to serve as the Global Regulatory Inventory and Regulatory Change team's lead representative responsible for integrating the third-party … more
- American Express (Charlotte, NC)
- …financial services institution, executing one of the following: data governance, risk management, operational controls, or regulatory reporting . + 2 years of ... a regulated environment. Prior experience in financial services and regulatory reporting as a SME, Business Analyst...regulatory reports to support root cause analysis for operational data issues and identify thematic issues. + Develop… more
- USAA (Charlotte, NC)
- …include governance support, risk oversight, risk infrastructure development, analysis of regulatory environment, and adherence to enterprise operational and ... federal regulatory requirements and associated business impacts. + Provides operational and compliance risk oversight for USAA, its affiliates, and USAA… more
- Datavant (Raleigh, NC)
- … regulatory /legal guidance and industry best practices + Serve as the audit lead for planning, fieldwork, reporting , and follow-up of all internal legal and ... General's (OIG) compliance program guidance and healthcare industry internal audit standards. Reporting to the Chief Compliance and Privacy Officer, the Director of… more
- Bank of America (Charlotte, NC)
- …risk controls of our data processes and systems. Participate in and lead user acceptance testing of data control processes. Understand existing risk systems, ... alternate data sources and processes to improve the control environment. Lead cross functional strategic efforts to remediate data quality issues. Proactively… more