- Truist (Charlotte, NC)
- …interact with all levels of management **Preferred Qualifications:** 1. Proven Broker /Dealer product knowledge/expertise 2. Eight years of compliance experience, ... with five years at medium to large financial institution 3. Applicable Broker /Dealer and/or Compliance certifications **General Description of Available Benefits… 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
- TIAA (Charlotte, NC)
- …the United States. Business lines consists of Institutional Retirement, Wealth, Broker -Dealer, TC Funds, Life Insurance, Nuveen affiliates, and education savings. ... addition to serving as a liaison with Audit and compliance testing functions during AML/Sanctions reviews, this individual will...and report results and issues to the TIAA BSA/AML Officer for further action. + Working with the business… 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