- Bank of America (Charlotte, NC)
- …, particularly focused on fraud and scam-related matters, elder/at- risk person exploitation, transaction dispute claims/complaints, pre-litigation dispute ... Attorney - Fraud & Claims and At- Risk Persons Charlotte, North Carolina **To proceed with...legal counsel on Consumer and Wealth Management related products, services , and regulatory matters. Key responsibilities include reviewing legal… more
- Vanguard (Charlotte, NC)
- …and elevate our client experience. Responsibilities + Conducts routine and targeted compliance monitoring and testing across financial services operations, with ... findings to business partners and senior compliance leadership. + Provides compliance guidance and advisory support to business units, helping to mitigate… more
- City National Bank (Charlotte, NC)
- …OPPORTUNITY? The Head of Consumer Lending Compliance will act in a compliance advisory role supporting consumer banking on matters of regulatory ... and ensuring effective controls are in place to mitigate compliance risk . Additionally, the role will be...related to the financial products the bank provides, the services the bank delivers, the processes employed and the… more
- TD Bank (Charlotte, NC)
- …US Compliance , we're on a mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Why Work with Us?** At TD...knowledge of broader related areas + Senior specialist providing advisory services to executives, business segment leaders… more
- American Express (Apex, NC)
- …an impact in this role?** We are seeking an experienced and strategic Director, Compliance to lead compliance risk identification, management, and mitigation ... controls and mitigation strategies + Support the execution of business-level compliance risk assessments and control self-assessments + Support regulatory… more
- American Express (Charlotte, NC)
- …management oversight program for the US Consumer deposits business, as well as provide risk management advisory services to promote safe, scalable innovation ... monitoring to implement effective processes. + Support an effective Compliance program including Compliance Risk ...+ Support an effective Compliance program including Compliance Risk Assessment (CRA), Regulatory Change Management… more
- City National Bank (Charlotte, NC)
- …applicable laws and regulations, ensuring controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies and procedures, ... training, and advisory matters for mortgage lending compliance . This...exam management and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk… more
- Truist (Raleigh, NC)
- …of value-added independent and objective risk -based internal audit assurance and advisory services . The Senior Audit Manager further develops and maintains ... specialization and expertise in specific areas of financial services and assists in line of business relationship management and risk monitoring. **ESSENTIAL… more
- Guardian Life (Raleigh, NC)
- …Avenue Investment Advisory , you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110 and, ... in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk...initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and… more
- Robert Half (Charlotte, NC)
- …Technology Audit & Advisory Senior Consultant to join our growing Financial Services team. Protiviti's Financial Services practice is widely recognized as a ... partner with highly regulated clients and deepen your understanding of financial services regulations. At Protiviti, Technology Audit & Advisory focuses on:… more