- Truist (Charlotte, NC)
- …**Please review the following job description:** Responsible for conducting and directing compliance risk oversight of assigned business units ( Broker Dealer) ... and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives...Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven … more
- Truist (Charlotte, NC)
- …the capabilities to serve as a proxy for the Governance and Controls Officer with senior leadership, committee presentations, audit, or regulators. Following is ... within the GCO. 11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a proxy when needed… more