- Wells Fargo (Charlotte, NC)
- …Risk as part of **Corporate & Investment Banking (CIB) Compliance .** As the Lead Compliance Officer , you will support the business aligned compliance ... on the Fixed Income Sales & Trading Compliance Team. Will be responsible for supporting one of...one of the following coverage areas: + Business Aligned Compliance Officer (BACO) for the Strategic Relationship… more
- Truist (Charlotte, NC)
- …2. Analyze existing policies, procedures, processes and controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing ... compliance actual and emerging risk scenarios within the Fixed Income Sales & Trading business unit and/or functions....Sales & Trading business unit and/or functions. 4. Take lead of the Fixed Income Sales &… more
- Truist (Charlotte, NC)
- …and spirit of applicable corporate policies, procedures, processes, standards and regulatory/ compliance requirements. + Takes a new perspective on existing solutions ... to senior leadership summarizing issues and communicating solutions. + Lead assigned LOBs through annual planning process, including rationalizing corporate… more