- TD Bank (Hendersonville, NC)
- …to ensure operational excellence and compliance with policies and procedures to mitigate risk and protect the Bank and Customers. This role will drive, reinforce, ... service and advice activities and/or solutions while maintaining compliance and regulatory guidelines + Closely monitors workflows for the teller team and… more
- Wells Fargo (Charlotte, NC)
- …unique challenges. + Deliver solutions with consideration of industry dynamics, compliance, regulatory impact, and risk management. + Develop and monitor product ... customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance),… more
- American Express (Charlotte, NC)
- …Support the execution of business-level compliance risk assessments and control self-assessments. + Support regulatory exam readiness, issue remediation, and ... organization drives performance while upholding the Company's commitment to regulatory compliance and financial integrity through strategic collaboration with… more
- Bank of America (Charlotte, NC)
- …8 years of commercial credit experience (credit review, direct lending, workout, risk management and/or regulatory ), including deep understanding of large or ... an independent assessment of the quality of credit decisioning, portfolio management, risk recognition practices and the effectiveness of credit processes across the… more
- Bank of America (Charlotte, NC)
- …Bank of America business processes and front end application systems + Audit or risk control risk /controls background in financial services + Prior ... audit programs designed to measure and report on data risk across the enterprise. Will act as an individual...guide junior team members. Will provide independent analysis of control effectiveness based on regulatory requirements, industry… more
- TD Bank (Charlotte, NC)
- …manage a complex team that has a wide variety of skill sets. + Strong Control / Risk Management mindset. + Negotiation skills and forward looking with an ability ... 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… more
- JPMorgan Chase (Charlotte, NC)
- …term through a holistic goals based planning approach * Strictly adhere to all risk and control policies, regulatory guidelines and security measures ... Required Qualifications, Capabilities, and Skills * Six plus years of work experience in Private Banking or Financial Services * Bachelor's Degree required * Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but… more
- JPMorgan Chase (Raleigh, NC)
- …term through a holistic goals based planning approach + Strictly adhere to all risk and control policies, regulatory guidelines and security measures ... **Required Qualifications, Capabilities, and Skills** + Six plus years of work experience in Private Banking or Financial Services + Bachelor's Degree required + Series 7, 66 and Insurance licenses required for position; unlicensed candidates considered, but… more
- TD Bank (Charlotte, NC)
- …alignment with risk appetite + Assumes responsibility to minimize operational and regulatory risk by complying with Bank and industry Code of Conduct ... and/or control functions and ensure alignment with enterprise and/or regulatory requirements + Participates in cross-functional / enterprise initiatives as a… more
- Bank of America (Charlotte, NC)
- …Minimum 8 years of commercial credit experience (credit review, direct lending, workout, risk management and/or regulatory ) + Experience in asset-based lending + ... an independent assessment of the quality of credit decisioning, portfolio management, risk recognition practices and the effectiveness of credit processes across the… more