- Coinbase (Charlotte, NC)
- …collaboration, connection, and alignment. Attendance is expected and fully supported. The Regulatory Exam Management (REM) team at Coinbase is responsible for ... Additionally, the REM team develops tools and dashboards for tracking regulatory exam statuses and findings, reports regularly to senior management and boards,… more
- TD Bank (Charlotte, NC)
- …dedicated to setting new industry standards. TD Bank is seeking a Senior Manager to coordinate across Compliance Programs to proactively prepare for audit exams. The ... manager is responsible for developing an annual plan to...action plan management and support + Make sure latest regulatory expectations and supervisory feedback are incorporated into management… more
- Truist (Charlotte, NC)
- …Committee, as well as other Committees, as applicable. 10. Assist with Audit and Regulatory Exam management. 11. Assist in thematic review of issues to identify ... job description:** Implementation, management and ongoing execution of the Truist regulatory reporting risk frameworks in alignment with second line of defense… more
- TD Bank (Charlotte, NC)
- …monitoring, risk assessment, reporting and other activities** + **Internal Audit, regulatory exam , and ongoing supervision management, finding tracking, and ... expert objective guidance and independent challenge.** **In this position, the Compliance Manager will manage the regulatory change management process, … more
- Wells Fargo (Charlotte, NC)
- …Trainee in Wealth and Investment Management as part of the Wells Fargo Advisors' Manager Leadership Program (MLP). The MLP is intended to identify and develop new ... manager talent and help us create the next generation...expense management and other initiatives + Assist in compliance, regulatory , and administrative issues relating to the market +… more
- American Express (Charlotte, NC)
- …Express is seeking a dynamic and detail-oriented Technology and/or Cybersecurity Compliance Manager to join the First Line of Defense (1LOD) Compliance Function. ... This position will contribute to overseeing regulatory change management for Enterprise Technology Services, ensuring that day-to-day business operations are… more
- TD Bank (Charlotte, NC)
- …enthusiastic colleagues dedicated to setting new industry standards. The Compliance Manager **-** Compliance Monitoring Programs will lead and enhance our Compliance ... This role involves managing compliance programs related to risk assessment, exam management, monitoring, reporting, and training across multiple lines of business.… more
- City National Bank (Charlotte, NC)
- …ORM framework, policies and procedures. * Support and facilitate audit and regulatory exam activities * Build effective relationships, alliances, and strategic ... *OPERATIONAL RISK FRAUD OVERSIGHT MANAGER II* WHAT IS THE OPPORTUNITY? Operational Risk...control design or operating effectiveness * Review and challenge regulatory remediation activities in assigned coverage areas to ensure… more
- Bank of America (Charlotte, NC)
- …groups as needed to ensure alignment across the AML program. + Work on exam /audit/ regulatory management from a FLU perspective, where needed. + Identify control ... Director, Business Support Manager Charlotte, North Carolina **To proceed with your...Mergermarket to facilitate strategic decision-making and ensuring alignment with regulatory and compliance requirements. + Analyze and present key… more
- Truist (Charlotte, NC)
- …and document remediation. 7. Support the business for all audit and regulatory exam engagements. 8. Communicate with assigned business unit's leadership ... Provide risk management support and oversight for change activities (both business and regulatory change). 6. Provide oversight and support for open risk, audit, and… more
- Wells Fargo (Charlotte, NC)
- …this role:** The Fixed Income Strategies Team is searching for a Lead Portfolio Manager - Municipal Fixed Income (Lead Wealth Investment Portfolio Manager ). The ... education **Desired Qualifications:** + Successfully completed FINRA Series 65 exam to qualify for immediate registration (or FINRA recognized equivalents,… more
- Danaher Corporation (Charlotte, NC)
- …which makes everything possible. The Project Manager , Clinical Lab Equipment Installation is responsible ... and internal BCI Teams This position reports to the Manager of Technical Project Management and is part of...Diagnostics or Healthcare Industry with heavy emphasis on Laboratory Regulatory environment + PMP eligible (real life project experience… more
- City National Bank (Charlotte, NC)
- …Auditor (CFSA) designation a plus. * Experience communicating and interacting with regulatory agencies, including exam management and other regulatory ... ensuring controls are in place to mitigate compliance risk. Maintaining regulatory change management, policies and procedures, training, and advisory matters for… more
- Wells Fargo (Charlotte, NC)
- …to leverage partners and connect customer with the appropriate partner or relationship manager to meet their needs + Partner with financial advisors to understand ... customers and partners **Desired Qualifications:** + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 6 and Series 63 examinations (or… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Branch Complex Senior Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our ... business at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) . The Branch Complex Senior Manager role will lead branch(es) within a market of Wells… more
- Wells Fargo (Charlotte, NC)
- …with oversight of branch risk management + Perform basic or tactical ongoing regulatory , compliance and operational reviews as well as other duties related to best ... ensure that the activity is in compliance with all regulatory and firm policies + Collaborate and consult with...+ Complete other duties as assigned by the Supervision Manager **Required Qualifications:** + 6+ months of Supervisory Control,… more
- Wells Fargo (Charlotte, NC)
- …to low-to-medium risk tasks and deliverables + Receive direction from a manager and exercise independent judgment while developing understanding of compliance and ... FINRA recognized equivalents will be accepted. + Registration for Securities Industry Essentials (SIE) exam must be completed within 90 days of hire date if it is… more
- PNC (Charlotte, NC)
- …on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Additional locations may be considered. **Job Description** + Executes ... Independently completes work papers, issue tracking, supporting documentation, follows up on exam findings with business leaders, and acts as a Second Level… more
- Regions Bank (Charlotte, NC)
- …management outreach, and control standards mapping for the TODD Business Unit. + Provides regulatory exam and audit support for TODD BU partners. + Provides ... law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule...the office three or more days a week. The manager will set the work schedule for this position,… more