- Truist (Charlotte, NC)
- …interact with all levels of management **Preferred Qualifications:** 1. Proven Broker /Dealer product knowledge/expertise 2. Eight years of compliance experience, ... and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives...years at medium to large financial institution 3. Applicable Broker /Dealer and/or Compliance certifications 4. Private Fund… more
- Wells Fargo (Charlotte, NC)
- …**About this role:** Wells Fargo is seeking a Lead Control Management Officer within the CIB Markets Control organization, responsible for providing risk management ... will:** + Serve as the primary day-to-day lead coverage officer for Credit Sales & Trading + Serve as...key point of contact in CIB Control for selected senior leaders in Credit Sales & Trading, Independent Risk… more
- Wells Fargo (Charlotte, NC)
- About this role: Wells Fargo is seeking a Lead Control Management Officer within Rates Trade Surveillance. Learn more about our career areas and lines of business at ... Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including… more
- 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
- 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
- Bank of America (Charlotte, NC)
- …and implementation of accounting policies and procedures. The Chief Financial Officer (CFO) Groupis responsible for the overall financial management of our ... review, and submission of US financial regulatory reports for the bank, broker -dealer, and certain non-bank subsidiaries and works closely with business and finance… more