- JPMorgan Chase (Charlotte, NC)
- …& Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world ... with partners from Sales, Operations, Onboarding, Technology, Risk, Compliance and Legal , driving controls execution initiatives for WHEM Client Onboarding and… more
- Bank of America (Charlotte, NC)
- …to deliver a dynamic, accurate and disciplined forecast by product, LOB and Legal Entity under baseline and stress scenarios. Responsible for quality assurance and ... Accounting, Quantitative, or Economics + Experience analyzing fixed income securities , interest rate derivatives + Experience withSAP / Oracle(general ledger… more
- US Bank (Charlotte, NC)
- …compliance activities, or equivalent work experience managing complex processes regarding legal or regulatory matters (such as litigation, project management, risk ... compliance activities, or equivalent work experience managing complex processes regarding legal or regulatory matters (such as litigation or project management). .… more
- Truist (Raleigh, NC)
- …efforts of the team + Stays updated and abreast of changing economic, legal , financial planning, investment trends and general market and business issues impacting ... resource for clients, their attorneys and CPAs. + Maintain appropriate legal , operating and regulatory controls to manage risk and compliance. Works… more
- TD Bank (Charlotte, NC)
- …legislation, regulations, and industry standards, as it applies to Banking, Securities , Insurance, Prudential, Finance, HR, etc. + Experience with coordination of ... a governance related field (eg Compliance, Risk Management, AML, Legal , Audit) _The above details are specific to the...all aspects of Compliance programs for TD businesses/functions and legal entities as assigned. **Depth & Scope:** + Provides… more
- Wells Fargo (Charlotte, NC)
- …risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements + Oversee the Front Line's ... to high risk compliance matters + Interface with Audit, Legal , external agencies, and regulatory bodies on risk related...subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article… more
- TD Bank (Charlotte, NC)
- …for in scope laws/regulations as they pertain to respective businesses and across legal entities + Supports the facilitation of the Compliance Risk Assessment and ... risks and taxonomies related to consumer and commercial banking, securities (broker-dealer), and wealth management businesses + Excellent written, verbal… more
- Ally (Raleigh, NC)
- …minority-owned brokerage firms, as well as external 3rd parties, including legal , trustees and auditors * Responsibility for accurately completing various regulatory ... the execution of liability management activities * Monitor Ally's equity securities and support the structuring, execution and ongoing monitoring of Ally's… more
- Bank of America (Charlotte, NC)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... risk identification across the 8 lines of business and legal entities, establishment of effective forecasting and stress testing...monitoring processes across the 8 lines of business and legal entities, including the review and challenge of Board… more
- Guardian Life (Raleigh, NC)
- …drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted product platform. + Educate producers, ... to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more