- USAA (Charlotte, NC)
- …performing internal audits, external audits, or applying audit, risk , or compliance acumen in a complex operational and regulatory environment. + Experience ... compliance with SR 11-7, ASOP 56, and other regulatory frameworks. + Expert level knowledge to oversee the...various models, implementing controls to monitor and manage model risk effectively in alignment with regulatory standards.… more
- KPMG (Charlotte, NC)
- …designated companies) Qualifications: + Minimum eight years of recent and related work in regulatory compliance and/or risk Management in the context of ... **Business Title:** Director , Non-Financial Risk **Requisition Number:** 118159...our Consulting (https://advisory.kpmg.us/) practice. Responsibilities: + Design and develop compliance frameworks and risk assessment methodologies that… more
- Truist (Charlotte, NC)
- … reporting governance framework in the execution of enterprise, technology, operational, and compliance risk frameworks to align with second line of defense ... following job description:** Implementation, management and ongoing execution of the Truist regulatory reporting risk frameworks in alignment with second line of… more
- Wells Fargo (Charlotte, NC)
- …position will report to the Regulatory Relations Director for Corporate Risk . The Corporate Risk Regulatory Relations team ensures an organized and ... all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... formal sample selection tools, process and control flow-charting, and audit methodology compliance + Strong understanding of financial regulatory environment +… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... risk calculations including full-revaluation VaR, and capital calculations for internal risk management and regulatory requirements such as FRTB-SA. The… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... **About this role:** Corporate Risk is seeking a Business Execution Director...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... other corporate risk disciplines. + Represent Model Risk Management in regulatory exams for covered...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more
- Compass Group, North America (Charlotte, NC)
- …planning and performance management * Background, training, and experience in regulatory compliance * Developing SOP's, manufacturing standards, protocols, and ... Compass Corporate Position Title: DIRECTOR OF SAFETY AND RISK -...QA audit processes * Background, training, and experience in regulatory compliance * Experience in developing SOP's,… more
- KPMG (Charlotte, NC)
- …+ Minimum of five years of recent and applicable work experience in financial services regulatory compliance with a focus on consumer compliance and safety ... **Business Title:** Director , Consumer Compliance **Requisition Number:** 118205...or state banking agency; professional designations, such as Certified Regulatory Compliance Manager (CRCM) or commissioned examiner,… more
- Citizens (Charlotte, NC)
- …JMP Securities, Inc., Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. ... As the Director of Institutional Equities, Options, and Fixed Income Compliance , you will be responsible for overseeing both advisory and trade surveillance… more
- Truist (Charlotte, NC)
- …second line compliance oversight teams to implement and direct an effective compliance risk management program that sets forth the framework and strategy ... , legal or management experience at large financial institution 3. Certified Regulatory Compliance Manager (CRCM) **General Description of Available Benefits for… more
- Truist (Charlotte, NC)
- …to operations (NIST, FFIEC) **Preferred Qualifications:** + Understand multiple approaches to regulatory compliance and control effectiveness design + 10 years ... a subset of the following sub-functions: a) governance b) risk and c) compliance with specific expertise...security + 10 years' experience managing the remediation of regulatory matters and internal findings + 10 years' experience… more
- Gentiva (Mooresville, NC)
- …who make a lasting difference in people's lives every day. **Overview** The **Field Director Compliance ** will report to the Senior Director Field ... is responsible for traveling to division programs to perform comprehensive compliance audits. Performs and documents internal investigations and audits of the… more
- US Bank (Charlotte, NC)
- …execute audits to assess the adequacy of first and second lines of defense compliance risk management practices. - Ability to build and continuously improve ... schedule and making necessary adjustments. - Completing or assisting the audit director in developing the risk -based audit plan. Includes identifying auditable… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... **About this role:** Wells Fargo is seeking an Audit Director (AD) in Enterprise Technology Audit Group (ETAG) to...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Maintain credible, collaborative and influential relationships with senior management, other risk organizations and regulatory agencies. + Develop a… more
- Sunrise Senior Living (Charlotte, NC)
- …community. Responsible for oversight and implementation of all Care programs, regulatory compliance , recruiting, and performance management. **RESPONSIBILITIES & ... clinical capability of care team members. Quality Assurance and Regulatory Compliance : + Tracks, trends, and reports...the community leadership team to promote resident safety and compliance with Risk Management and OSHA/British Columbia… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... security. + Lead cross-functional teams, including product development, operations, technology, risk , and compliance , to deliver seamless and efficient payment… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... role:** Wells Fargo is seeking a Digital Product Management Director to lead as the Head of Product Management...organizational goals while managing risk and ensuring regulatory and policy compliance . + Establishing Product… more