- Usaa (Charlotte, NC)
- …You will also be responsible for identifying and following written risk and compliance policies, standards, and procedures for control testing activities while ... for planning and driving first line of defense control testing that evaluates the design and operating effectiveness of...to enhance governance practices in alignment with risk and compliance frameworks. We offer a flexible work environment that… more
- Usaa (Charlotte, NC)
- …thorough model validation activities and ensuring adherence to written risk and compliance policies and procedures. The role requires strict independence from model ... models. Leverage expert technical approaches to develop and implement validation testing plans. Replicate model development and may develop challenger models through… more
- TD Bank (Charlotte, NC)
- …standards. management areas, broader organization, and enterprise as appropriate. **U.S. Compliance Monitoring and Testing provides governance, oversight, ... and support for central elements of the US Compliance Monitoring and Testing Program, including:** + Lead strategic planning efforts and support US … more
- KeyBank (Charlotte, NC)
- …to various lines of business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... evolves and grows. + Proven ability to work in a team environment. + Compliance monitoring and testing skills. + Sound decision-making skills; able to make… more
- Coinbase (Charlotte, NC)
- …of operations. *What you'll be doing: * Lead a team of 10-15 Compliance (Transaction Monitoring / AML and Fraud Investigations/EDD) Analysts; * Ensure ... connection, and alignment. Attendance is expected and fully supported. The Compliance team within Customer Experience (CX) is responsible for developing and… more
- Truist (Charlotte, NC)
- …incorporated into appropriate compliance policies, standards, processes, training, and monitoring / testing activities at an enterprise level. + Works with ... and assesses Truist's Corporate cybersecurity legal, regulatory and industry compliance . Executes strategies for closing cybersecurity management compliance … more
- Truist (Charlotte, NC)
- … testing team (RDT) team reporting to the Enterprise Data Assessment and Testing Director (within the Enterprise Independent monitoring and testing Team ... of Transaction testers. Also responsible for 2LOD Transaction and/or Conformance testing plan including overseeing the test planning and development, methodology,… more
- TD Bank (Charlotte, NC)
- …(COF) including.** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... Compliance programs (ie, risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives), including frameworks,… more
- Synchrony (Charlotte, NC)
- …of third-party model providers, including rigorous onboarding, due diligence, performance monitoring , and contract compliance . + Lead vendor risk assessments, ... Job Description: **Role Summary/Purpose:** The VP, Compliance Model Governance and Supplier will serve as the business and technical owner of Synchrony's BSA/AML… more
- Coinbase (Charlotte, NC)
- …filing a SAR. Additionally, you will be proactively detecting emerging risks, optimizing compliance processes, and testing new tools and models before deployment ... connection, and alignment. Attendance is expected and fully supported. The CX Compliance team is essential in ensuring that our global CX Compliance… more
- TD Bank (Charlotte, NC)
- …(COF) including;** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... risk and conduct risk within the US Wealth businesses;** + **Independently testing , monitoring and assessing the adequacy of, adherence to and effectiveness… more
- Regions Bank (Charlotte, NC)
- …will be impacted by these changes + Administers a monitoring and testing program to ensure effective compliance with all applicable laws and regulations ... + Conducts research of laws and regulations that impact compliance to include monitoring for new laws...like Excel, Tableau, Power BI + Assist with CRA testing and monitoring activities + Assist with… more
- City National Bank (Charlotte, NC)
- …Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. * Performs research on regulations and ... test results along with comparable line of business QA testing results. * Conduct meetings to discuss testing...other tracking reports as deemed necessary. * Conduct regulatory compliance monitoring activities as assigned and maintain… more
- Bank of America (Charlotte, NC)
- …committees + Directing the completion compliance activities such as: designing monitoring and testing routines and reporting to identify potential AML risks ... **Skills:** + Critical Thinking + Monitoring , Surveillance, and Testing + Regulatory Compliance + Risk Management + Coaching + Issue Management + Policies,… more
- City National Bank (Charlotte, NC)
- …CRIMES COMPLIANCE II* WHAT IS THE OPPORTUNITY? Responsible for monitoring , analyzing, and escalating matters of regulatory or legal initiatives, requirements, ... in a BSA role required. * Minimum of 2 years experience with Compliance Risk Assessment testing and documentation. *Additional Qualifications* * ACAMS Certified… more
- Coinbase (Charlotte, NC)
- …connection, and alignment. Attendance is expected and fully supported. The CX Compliance team is essential in ensuring that our global CX Compliance ... regulatory requirements, and consistently deliver high-quality resolutions. As a Senior Analyst, Compliance TMS Operations within the CX Compliance team, you… more
- City National Bank (Charlotte, NC)
- …origination, account opening, and customer communication. Leads and executes continuous monitoring activities to assess consumer compliance risks and controls ... *AUDIT MANAGER I- CONSUMER COMPLIANCE * WHAT IS THE OPPORTUNITY? The Audit Manager...work of audit staff, analyzes and synthesizes results of testing performed, and effectively communicates results to senior management.… more
- US Bank (Charlotte, NC)
- …is seeking an experienced Model Validation Director for our Credit, Allowance & Compliance areas and will reside within the Bank's Risk Management and Compliance ... review and validate a wide range of models including CCAR, allowance, compliance , and cyber security models + Assesses model risk through pre-implementation… more
- Coinbase (Charlotte, NC)
- …as internal Subject Matter Expert for Coinbase's end-to-end transaction monitoring (TMS) operations, assisting teammates with substantive questions about process ... or procedure. Build strong relationships with Compliance partners and provide clear guidance to your team to resolve subjectivity in case resolution. Encourage… more
- Coinbase (Charlotte, NC)
- …Experience building compliance systems * Exposure to financial crimes compliance systems (transaction monitoring systems, enhanced due diligence, screening ... and alignment. Attendance is expected and fully supported. The Coinbase Compliance Technology Team develops globally scalable systems to meet regulatory… more
