- 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
- Deloitte (Raleigh, NC)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing and… more
- Ankura (NC)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, and/or Board; + Assist clients ... BSA/AML compliance programs and developing training for FinTech's and broker -dealers. + Provide advice on technology implementation and enhancement including AML… more
- City National Bank (Charlotte, NC)
- …for new or revised laws and regulations. + Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... line of business to remediation plans. + Works with Senior Compliance Officer , Compliance...roles, experience with a financial institution such as a broker /dealer and/or registered investment adviser. + For Wealth Management… more
- Citizens (NC)
- …launches, sells, and processes products and services. The First Line Risk Senior Manager will integrate activities between Risk, Compliance , and brokerage ... management Supervision. Experience in developing Private Wealth risk and compliance programs for dual-registered Broker -Dealer/Registered Investment Advisor, and… more
- Bank of America (Charlotte, NC)
- …(EWI); up-front engagement of Liquidity Risk & LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and ... to recognize all risk categories including credit, market, operational and compliance and bringing appropriate risk expertise as needed. Accountable for conducting… more
- Bank of America (Charlotte, NC)
- …(EWI); up-front engagement of Liquidity Risk & LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and ... including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also… more