- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Oversight team withing the Corporate Market Risk Group (CMRG). In addition to trading desk oversight, the Cross Functional Oversight team is responsible for managing… more
- Truist (Charlotte, NC)
- …Sales Management. + Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy. ... + Bachelor's degree in Finance or Business. + 7 or more years of regulatory , compliance or supervisory experience + FINRA Series 4 **General Description of… more
- XPO, Inc. (Charlotte, NC)
- …key metrics (eg, competitor EBITDA, Capex, TSR, etc.) + Review and track Proxy Advisor policy changes and run pro forma modeling on say-on-pay and equity plan ... for employee equity grants, using various stock prices; provide analysis of executive compliance with stock ownership and retention policy and number of shares that… more
- Bank OZK (Charlotte, NC)
- …embrace, support, and model the bank's values and mission + Ensure compliance with internal/external regulatory policies, procedures, and guidelines Basic ... with clients' financial needs and objectives. As their trusted advisor , you will work directly with clients to help...portfolio review calls + Provide general investment expertise and trading capabilities + Generate and review trades in the… more