- Truist (Charlotte, NC)
- …unit and/or functions. 4. Take lead of the Fixed Income Sales & Trading Surveillance function within the Compliance team which includes but not limited to ... to other Compliance Officers and Analysts. 9. Conduct electronic communication surveillance of the broker dealer activities as well as information barrier … more
- Bank of America (Charlotte, NC)
- …Skills + Written Communications + Active Listening + Issue Management + Monitoring, Surveillance & Testing + Regulatory Compliance + Technical Documentation + ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...trading desk and other risk and support groups (ie, Compliance , Finance, Operations, etc.) + Review and Challenge of… more