- 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
- 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 Operational Risk Director within the Consumer, Small &...Ensure reporting, escalation, and remediation of issues, deficiencies, or regulatory matters regarding operational risk to leaders,… 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
- 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
- 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 ... 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
- Glenmark Pharmaceuticals Inc., USA (Monroe, NC)
- …principles and requirements. + Leads data integrity training to ensure awareness and compliance to data integrity regulatory and program requirements. + Support ... Associate Director , Data Integrity Officer Department: Quality Plant Head...accuracy and reliability of cGMP data and data supporting regulatory submissions. Generally, this requires implementing, as appropriate, and… more
- Wells Fargo (Charlotte, NC)
- …all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... Team is looking to fill an Audit Manager, Executive Director position to support the coverage of Wells Fargo's...on building strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly… more
- Truist (Charlotte, NC)
- … indicators, key performance indicators and metric reporting to build out mature regulatory compliance arm of Access Management + Provide subject matter ... a subset of the following sub-functions: a) governance b) risk and c) compliance . **ESSENTIAL DUTIES AND...performance indicators and metric reporting to build out mature regulatory compliance arm of Access Management +… more
- USAA (Charlotte, NC)
- …will ensure new deposit account originations at USAA fully complies with all regulatory requirements while minimizing operational and credit risk associated with ... activities are effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. **What you have:** +… more
- USAA (Charlotte, NC)
- …Ensure assigned Bank projects are completed within financial regulatory and compliance policies and that risk issues identified are mitigated as required. ... Sales Applications. Works closely with Product, Marketing, Design, Legal, Risk and Compliance to bring digital experiences...end-user value. Ensures all work is completed within all regulatory and compliance policies and processes. We… more
- Glenmark Pharmaceuticals Inc., USA (Monroe, NC)
- …to ensure no critical and major market complaints. + Ensure that all statutory and regulatory compliance are regularly monitored and is in a state of ... Associate Director , Microbiology Department: Microbiology Location: Monroe, NC...regulatory audit observations at other sites and ensure compliance in microbiology department of the site. + To… more
- Huntington National Bank (Charlotte, NC)
- …leadership to oversee findings, remediation responses and plan resolutions along with Segment Risk and project management of internal and regulatory audits in ... Description The Managing Director - Head of Operational Strategy for CSG...You must have strong cross-bank relationship building and operational risk management experience with deep and specific knowledge of… more
- Bank of America (Charlotte, NC)
- …monitor and mitigate liquidity and funding risks in the Bank. Responsible for compliance with Enhanced Prudential Standards and other regulatory guidelines, the ... Sr Quantitative Finance Analyst (VP/ Director ) - Liquidity Model Validation Charlotte, North Carolina;Pennington,...and complex modeling projects for specific business units or risk types. Key responsibilities include leading the development of… more
- USAA (Charlotte, NC)
- …experience performing risk reviews, or applying risk , audit, or compliance acumen in a complex operational and regulatory environment. + Knowledge of ... and support from the Senior Review Manager or CRR Director in support of the CRR business plan and...of a degree. + 6 years' CRR, audit, credit risk management, or regulatory experience in banking… more
- USAA (Charlotte, NC)
- …in the department and within the organization. + Comprehensive knowledge of applicable compliance , risk , and regulatory data requirements. + Experience ... makes us so special! **The Opportunity** As a dedicated ** Director , Audit Data Analytics** , you will lead a...effectively identified, measured, monitored, and controlled in accordance with risk and compliance policies and procedures. +… more
- Truist (Charlotte, NC)
- …operations (NIST, FFIEC) **Preferred Qualifications:** + Understand multiple approaches to regulatory compliance and control effectiveness design + Deep ... a subset of the following sub-functions: a) governance b) risk and c) compliance with specific expertise...CCS GRC, Business Unit Risk Management, Technology Risk , Truist Audit Services and Regulatory Relations,… more