- 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, ... agencies, including exam management and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM).… more
- PNC (Charlotte, NC)
- … risk control limits. Leads the execution of the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates ... needed to be successful in this position. **Preferred Skills** Compliance Reporting, Customer Risk , Decision Making, Regulatory Requirements,… more
- Truist (Charlotte, NC)
- …(United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance ... or the regulators 6. Implement strategies and methods related to the compliance risk management framework within the organization, including quality assessments,… more
- Guardian Life (Raleigh, NC)
- …and Park Avenue Investment Advisory, you will conduct branch office inspections using risk -based testing methodologies to ensure compliance with FINRA Rule 3110 ... in certain circumstances, various state insurance laws. The Lead Compliance Analyst is responsible for developing a risk...and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules… more
- TD Bank (Charlotte, NC)
- …the develop and own the methodology for monitoring and testing by 2nd line including compliance risk and controls + Works with other second and third line ... provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** The Compliance Director, Commercial, Operations and… more
- USAA (Charlotte, NC)
- …to ensure quality standards are established in accordance with internal practices, risk and compliance policies and procedures, and regulatory requirements for ... processes and procedures. + Ensures objectives align with operational process, regulatory, risk and compliance goals to effectively contribute to the mission… more
- Capital One (Charlotte, NC)
- …in auditing one of the following areas: consumer compliance , banking or financial services industry, risk management. + 6+ years of experience in banking ... Administration + Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Risk Compliance Manager (CRCM) or a relevant certification + 6… more
- ISC2 (Raleigh, NC)
- …role is responsible for managing global tax compliance processes, overseeing financial statement audits, mitigating financial risk in close partnership ... position is responsible for overseeing all domestic and international financial statement audits, tax compliance processes, managing...input to optimize the company's tax position and mitigate risk . + Develop and maintain tax compliance … more
- American Express (Apex, NC)
- …leader of this Compliance verticals, the successful candidate will lead Compliance Risk Management oversight for all sub-units and portfolios within Tech, ... processes and controls are put in place to mitigate compliance risk . + Represent Compliance ...means caring for you and your loved ones' physical, financial , and mental health, as well as providing the… more
- Navient (Raleigh, NC)
- …procedures, and training materials aligned with regulatory best practices. + Lead risk assessments and compliance initiatives to identify issues, mitigate ... **About You:** + 3-4+ years of experience in regulatory compliance , audit, or operational risk & controls...is a plus. + 1-2 years of experience conducting compliance testing routines & supporting consumer financial … more