- Wells Fargo (Charlotte, NC)
- …as well as serve as a primary business contact on key initiatives with Wealth , Compliance, Risk , regional management, and other home office departments + Manage ... role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) within...risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well… more
- Wells Fargo (Charlotte, NC)
- …and making sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making sound risk ... It all begins with outstanding talent. It all begins with you. **Wells Fargo Wealth & Investment Management** Wells Fargo Wealth & Investment Management provides… more
- Wells Fargo (Charlotte, NC)
- …and making sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making sound risk ... this role:** Wells Fargo is seeking a Securities Operations Specialist as part of the Trade Settlement team within... as part of the Trade Settlement team within Wealth and Investment Management (WIM) Operations. This team is… more
- Wells Fargo (Charlotte, NC)
- …and making sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making sound risk ... this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Financial Network (FiNet) within the...the Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more about the career… more
- First Horizon Bank (Charlotte, NC)
- …seeking a meticulous and process-driven Marketing Quality Assurance (QA) & Process Specialist to take ownership of quality control and operational consistency across ... campaigns but also for establishing scalable QA frameworks, defining governance standards, and ensuring compliance and continuity across cross-functional marketing… more
- TD Bank (Charlotte, NC)
- …and the Wealth Lending Advisors (WLA) support the lending activities of Wealth Banking.** **In this position, the Compliance Specialist will be supporting ... function that effectively manages and oversees regulatory compliance risk and conduct risk in US Wealth businesses by:** + **Assessing regulatory compliance … more
- TD Bank (Charlotte, NC)
- …preferred.** + **Relevant certifications preferred such as Certified Fiduciary & Investment Risk Specialist (CFIRS) or Certified Trust and Fiduciary Advisor ... and oversees regulatory compliance risk and conduct risk in US Wealth businesses by:** +...**Familiarity with Office of the Comptroller of Currency (OCC) governance including fiduciary and investment handbooks.** + **Knowledge and… more
- Bank of America (Charlotte, NC)
- … Identification & Assessment + Line of Business (LoB) Products, Services & Acumen + Risk Governance & Reporting + Financial Crimes Risk Programs + Enhanced ... specifically focused on Special Investigations, Global Markets, or Global Wealth and Investment Management. In the investigative role, the Investigator… more
- Wells Fargo (Charlotte, NC)
- …and making sound risk decisions. There is emphasis on proactive monitoring, governance , risk identification and escalation, as well as making sound risk ... Growth Strategy Consultant in Investment Products as part of Wealth & Investment Management. In this role, you will...a designation upon hire such as: Certified Retirement Plan Specialist (CRPS) or Qualified Plan Fiduciary Consultant (QPFC) or… more
- Capital One (Charlotte, NC)
- …elements to providing assurance on the effectiveness and efficiency of Capital One's governance , risk management, and internal control processes. + You possess a ... thinking. + You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact...or more areas of compliance, such as consumer, brokerage, wealth management, or trust + 1+ years of experience… more