- Bank of America (Charlotte, NC)
- …including control execution, case management, and results reporting + Oversees all operations front line unit responses for regulatory exams, internal ... GT Risk and Regulatory Portfolio Executive -... examiners.The role will require candidate to work across front line units to discuss emerging risks… more
- Wells Fargo (Charlotte, NC)
- **2026 Summer Internship, Early Careers - COO Business Risk Control and Regulatory Oversight** **About this role:** Wells Fargo is seeking talent to join the ... Business Risk Control and Regulatory Oversight team under...a financial industry function that collaborates with and influences front - line business groups and functions through assessment… more
- Truist (Charlotte, NC)
- …Executive with stakeholders, including senior leadership, risk management organization, other front line risk teams, auditors or regulators. **Essential ... may change from time to time. 1. Engage in risk management activities with the line of...in assigned/specified line of business. 5. Broad risk and regulatory knowledge with an emphasis… more
- Wells Fargo (Charlotte, NC)
- …draft MCR summaries leveraged by partners in Compliance, the Legal Department and front - line . + Consult with Business Aligned Compliance Officers (BACOs) when ... customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance),… more
- Wells Fargo (Charlotte, NC)
- …complex projects + Coordinate highly complex matrixed activities across technology, CRO, and front line areas + Document enablement, execution and QA processes + ... management + Interact with Audit, Legal, external agencies, and regulatory bodies on risk related topics **...Coordinate highly complex matrixed activities across technology, CRO, and front line areas + Provide vision, direction… more
- Citizens (Charlotte, NC)
- …committees. + Ensure all credit adjudications adhere strictly to internal policies, risk appetite, and regulatory requirements (eg, US Leveraged Lending ... risks. + Proficiency with financial data platforms (eg, Bloomberg, Refinitiv) and risk management systems. + Regulatory Knowledge: Comprehensive understanding of… more
- Bank of America (Charlotte, NC)
- …as review & challenge the Line of Business + Define the Liquidity Risk Limits and Early Warning Indicators (EWI); up- front engagement of Liquidity Risk ... limits are set based on specific analysis of the risk factors or are in line with...breach notifications to drive remediation, when necessary, by the Front Line Units. + Lead deep dives… more
- Bank of America (Charlotte, NC)
- …are the responsibility of EFR, including but not limited to independent review and risk assessment of front line owned processes (eg capital calculation, ... from new products and new transactions + Support corporate-wide risk related initiatives, including regulatory change + Enhance the Risk landscape, by… more
- Lincoln Financial (Charlotte, NC)
- …closely with risk managers to monitor risk exposures, assess risk mitigation strategies, and ensure compliance with regulatory requirements. The ideal ... with first line partners to design and continuously improve the risk appetite framework, including setting risk limits, thresholds, and reporting procedures… more
- City National Bank (Charlotte, NC)
- …actions are taken when risk appetites are exceeded. * Engage and partner with front line risk functions to provide advice related to development and ... regulatory /enforcement activity and trends for impacts to business line activities. * Provide compliance advice and guidance to...report and validate corrective actions. * Challenge and aggregate front line risk assessments and… more
- Wells Fargo (Charlotte, NC)
- …legal and regulatory and Corporate Policy requirements + Oversee the Front Line 's execution and challenges appropriately on compliance related decisions + ... issues, deficiencies or regulatory matters regarding compliance risk management + Oversee the Front ...regarding compliance risk management + Oversee the Front Line 's execution and challenges appropriately on… more
- Wells Fargo (Charlotte, NC)
- …legal and regulatory and Corporate Policy requirements + Oversee the Front Line 's execution and challenges appropriately on compliance related decisions + ... issues, deficiencies or regulatory matters regarding compliance risk management + Oversee the Front ...regarding compliance risk management + Oversee the Front Line 's execution and challenges appropriately on… more
- Bank of America (Charlotte, NC)
- …or compliance risks and partners with Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations + Performs quality control ... operational or compliance risks and partners Global Financial Crimes (GFC) Management and/or Front Line Units (FLU) to resolve investigations + Performs quality… more
- USAA (Charlotte, NC)
- …of the adequacy and compliance with policies, procedures, and processes established by the front - line units and Independent Risk Management to ensure ongoing ... risk management and control processes including, legal and regulatory compliance and regulatory readiness, and the...effectiveness of the design, implementation and execution of the line of business processes and risk management… more
- Wells Fargo (Charlotte, NC)
- …Oversee and challenge the execution of compliance programs by the Front Line . + Develop, implement, and monitor risk -based compliance programs and controls. ... + Provide regulatory compliance risk expertise and consulting for high- risk projects...high- risk projects and initiatives. + Conduct compliance risk assessments and support regulatory exams, audits,… more
- Wells Fargo (Charlotte, NC)
- …**About this role:** The Corporate & Investment Banking Ops Control organization serves as the front line of risk management and is accountable for assessing ... customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance),… more
- Bank of America (Charlotte, NC)
- …to learn, grow, and make an impact. Join us! **Job Description:** Responsible for keeping line of sight into any data risk and related issues impacting the ... + Partner across DSM function, GRM leadership, GRM Data Steward Executives (DSE), Front - Line Unit and Control Function stakeholder teams and Technology to: +… more
- Wells Fargo (Charlotte, NC)
- …& International COO:** Drives Market Conduct & Supervision Program, strengthening the CIB Front Line Conduct and Compliance risk management framework aligned ... tracking, expense management, and performance reporting + Contribute to strategic initiatives, regulatory readiness, and risk and control programs + Assist with… more
- Bank of America (Charlotte, NC)
- …and management **Desired Skills:** + Knowledge of Bank of America business processes and front end application systems + Audit or risk control risk /controls ... and executing audit programs designed to measure and report on data risk across the enterprise. Implements and communicates Corporate Audits mission, goals, and… more
- SMBC (Charlotte, NC)
- …processes in-scope for EUC governance is a plus: (Reporting - Financial, Regulatory , Risk , Executive Management, Board; Front -Office Operations, Compliance, ... for SMBC AD's EUC tools and processes. The First Line of Defense (1LOD) EUC Governance Program partners with...+ 3-5 years of business experience in finance, audit, risk , compliance, or regulatory management in banking… more