- 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
- 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
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career ... training, military experience, education + US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Brokerage Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... + 2+ years of leadership experience + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 and 63 exams or 7, 9/10 and 66… 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
- TD Bank (Charlotte, NC)
- …for this role. **Line of Business:** Governance & Control **Job Description:** The Audit & Exam COE Control Group Manager will serve as the Exam Management ... the COE's execution of the following: a) Internal Audits, Regulatory Exams (more complex or horizontal in nature) and...other COE and/or AMCB 1B initiatives); and c) Design Exam Readiness review activities. This includes managing a team… 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
- TD Bank (Charlotte, NC)
- …provide the thought leadership in KYC required control solutions which meet regulatory expectation and deliver the best-in-class customer and colleague experience. + ... and processes to meet Banks Audit & Compliance requirements. + Supports any regulator exam , audit, or other relevant control execution and review of the KYC data… 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