- Coinbase (Charlotte, NC)
- …Partner with Security and Trust & Risk to respond to privacy incidents, regulatory inquiries, law enforcement demands, and other information requests. * Oversee ... partner closely with our global Data Privacy Operations, Product and Commercial Counsel , Security and other business teams and provide critical legal guidance on… more
- Truist (Charlotte, NC)
- …for conducting customer complaint review and remediation; coordinating and responding to regulatory requests for BD / RIA. Leads and executes compliance risk ... and regulators with respect to compliance risk management activities and regulatory examinations. 6. Implement strategies and methods related to the compliance… more
- TD Bank (Charlotte, NC)
- …manages ongoing marketing items to ensure compliance with firm and regulatory policy. Teammates interact directly and independently with field leadership, advisors, ... regulatory agencies and provides advice and guidance for document...and appropriateness.** **Summary about role:** **In this position, the Senior Compliance Business Oversight Analyst** **will own assigned complaints… more
- Highmark Health (Raleigh, NC)
- …acts within the parameters of federal and state laws, regulations, and regulatory guidance. The incumbent is also responsible for the administration, interpretation, ... and intake protocols, monitoring and implementation of new or changing regulatory requirements, risk assessment and audit execution, risk treatment plans, policy… more
- TD Bank (Charlotte, NC)
- …standards. **Department Overview:** **U.S. Wealth Compliance acts as an independent regulatory compliance and conduct risk management and oversight function as ... risk assessment, reporting and other activities** + **Internal Audit, regulatory exam, and ongoing supervision management, finding tracking, and remediation… more
- TD Bank (Charlotte, NC)
- …with staff and senior management of the Bank with respect to regulatory risk and other matters + Empowered to make prudent professional recommendations - in ... role. **Line of Business:** Risk Management **Job Description:** The ** Senior Group Risk Analyst, RCSA Manager** provides a broad...rendering advice and counsel to business lines or assigned area and risk… more
- CaroMont Health (Gastonia, NC)
- …of compassion and empathy, leading the way for a brighter, healthier future. Senior Healthcare Paralegal **Hybrid is offered. Working in the office 3 days/week, with ... Affairs Department, including drafting and reviewing contracts, corporate and regulatory filings, correspondence, and other documents. As directed, communicates with… more
- RELX INC (Raleigh, NC)
- …& Security, Financial Crime, Trade, State Aid and Sector Regulation. Trusted by top law firms, corporate counsel and the public sector, our coverage empowers our ... organization for breaking news and forward-looking analysis on legal and regulatory risk across the globe. Investigative journalists provide exclusive reporting on… more
- Truist (Raleigh, NC)
- …risks to BU CRO and/or Business Unit Risk Committee. + Guide risk-taking behavior. Provide counsel and advice to BU and senior BU leaders. + Monitor risk ... Business Unit. Present risk aggregation, key risks and emerging risks to senior Business Unit Leadership. Identify and opine on remediation to address weaknesses… more
- Truist (Charlotte, NC)
- …compliance risk management processes through the performance of compliance reviews; regulatory data requests, quality control reviews and execution of similar ... 2. Prepare reports, aggregate data, and follow procedures to meet regulatory requirements. 3. Analyze and provide guidance on complex compliance actual… more