- US Bank (Charlotte, NC)
- … compliance risks are in-scope. + Develops and maintains processes for Compliance issue coordination to ensure timely resolution of issues, including each ... issue expectations + Assists Management with strategic development of Corporate Compliance Issue Management program + Other projects, as assigned Basic… more
- TD Bank (Charlotte, NC)
- …in responding to periodic exams/audits by regulatory bodies and Internal Audit , to determine level of BSA/FCRM compliance **Employee/Team Accountabilities:** ... of issues with key stakeholders, such that TD achieves and maintains compliance and properly remediates findings from internal and external reviews as well… more
- Truist (Charlotte, NC)
- …of control testing activities (including control design and effectiveness testing), compliance monitoring indicator (CMI) activities, and Issue Validation ... remediation planning providing feedback for successful closure. 2. Participate in audit preparation activities and exam preparation. 3. Participate in key… more
- TD Bank (Charlotte, NC)
- …monitoring project implementation efforts, reviewing risk assessments, vendor engagements, reviewing audit findings and regulatory issues to support exam ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- TD Bank (Charlotte, NC)
- …control checks of USCRCO key process steps prior to closure + Tracking US Compliance Enforcement Actions. + Managing audit and regulatory exams for Regulatory ... inventory reporting (inclusive of metrics) + Manage the US Compliance monthly Issue monitoring report Please review...environment + Experience assembling data or material from an audit or exam for regulators + Ability… more
- City National Bank (Concord, NC)
- …ORM framework, tools, policies, procedures, and reporting metrics. * Provides 2LOD audit and regulatory exam support * Executes additional departmental ... industry * Minimum 5 years of experience in risk management, operational risk management, compliance , or audit * Minimum 3 years of control assurance experience… more
- City National Bank (Charlotte, NC)
- …peer network and tap the industry to identify leading practices * Support and facilitate audit and exam activities * Develop expertise in relevant Royal Bank of ... * Minimum 10 years of experience in risk management, operational risk management, compliance , or audit functions in the financial services industry * Minimum… more
- City National Bank (Charlotte, NC)
- …equivalent preferred * 3-5+ years of experience in residential mortgage operations, compliance , or audit support *Additional Qualifications* * Strong working ... The Residential Mortgage Analyst plays a critical role in ensuring compliance , risk mitigation, and operational efficiency across the Mortgage Division. This… more
- Truist (Winston Salem, NC)
- …7. Support the business and the GCO governance & reporting team for all audit and regulatory exam engagements. 8. Communicate with assigned business unit's ... will influence outcomes by ensuring effective risk identification and assessment, issue and control management, and regulatory readiness across the business units… more
- Truist (Charlotte, NC)
- …7. Support the business and the GCO governance & reporting team for all audit and regulatory exam engagements. 8. Communicate with assigned business unit's ... of formal risk management processes to include Regulatory engagements, Issue Management, and the development of key controls with...change). 6. Provide oversight and support for open risk, audit and regulatory issues. Evaluate the root cause, the… more
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