- US Bank (Charlotte, NC)
- …excel at-all from Day One. **Job Description** The Corporate Audit Services (CAS) Regulatory Liaison is a rotational management position that is responsible for ... + Performing other duties as requested by Senior Audit Director. ** Regulatory Liaison will exhibit:** + Project Management - Strong project management skills… more
- Bank of America (Charlotte, NC)
- …regulatory submissions. The Stress Testing Manager will lead the Legal and Regulatory liaison function supporting the end-to-end GRRP process across recovery ... Relevant Laws, Rules, and Regulations + Policies, Procedures, and Guidelines + Regulatory Compliance + Regulatory Relations + Controls Management + Internal… more
- Wells Fargo (Charlotte, NC)
- …in the preparation and/or reviewing of comment letters and other correspondence to regulatory standard setters. + Serving as liaison for regulatory ... Wells Fargo is seeking a Lead Financial Reporting Analyst to join our Regulatory Interpretations Team. This person would work closely with internal and external… more
- Wells Fargo (Charlotte, NC)
- …provide consultation with experienced stakeholders throughout the enterprise. + Act as a liaison for regulatory reporting issues with both internal and external ... and review of all quarterly, annual and semiannual reports to shareholders and all regulatory filings. **In this role, you will:** + Meet company's regulatory ,… more
- Regions Bank (Charlotte, NC)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... section of the system. **Job Description:** At Regions, the Business Unit Risk Liaison partners with senior leaders to strengthen the risk management culture across… more
- Regions Bank (Charlotte, NC)
- …unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions' Retention Schedule for a minimum ... section of the system. **Job Description:** At Regions, the Business Unit Risk Liaison partners with senior leaders to strengthen the risk management culture across… more
- Novant Health (Charlotte, NC)
- …monthly audits for all assigned locations to keep them abreast of their ongoing regulatory compliance. Serves as liaison and responsible party for applicable ... cell therapy, CAR-T therapy, flow cytometry, quality assurance, and compliance with regulatory bodies such as FACT, NMDP, and CIBMTR** **Clinical Laboratory:** The… more
- Truist (Charlotte, NC)
- …Committee and participate in other model related committees. + Participate in audit and regulatory exams. + Serve as the liaison between associated model owners, ... experience in financial services or related field + Broad risk and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance, Operational,… more
- City National Bank (Charlotte, NC)
- …department, compliance related activities and serves as subject matter expert and liaison on cross-functional task forces and project teams. **What you will do** ... on operating risk, and financial goals. + May function as primary liaison with Core Banking, Commercial Banking Centers, other line units/departments, and vendors;… more
- Wells Fargo (Charlotte, NC)
- …business at wellsfargojobs.com . **In this role, you will:** + Act as a liaison between Market Leaders, the Brokerage Support team, and Client Associates in various ... training, military experience, education + US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations… more
- Synchrony (Charlotte, NC)
- …Working Group, responsible for agendas, meeting minutes, charter maintenance, etc. + Key liaison to support other 2nd line of defense risk pillars activities such as ... vendor capabilities to support robust model development and deployment. + Facilitate regulatory examinations and internal audits of the modeling process and lead the… more
- Truist (Charlotte, NC)
- …the Payments Line of Business (LOB). Primary roles include Financial Reporting, Regulatory Reporting, accounting controls and operations. Following is a summary of ... approving journal entries and reconciliations, and preparing quarterly financials for regulatory reporting and statutory audits. + Support the Deputy Controller and… more
- Resideo (Charlotte, NC)
- …establishing robust internal processes and controls to meet the evolving global regulatory requirements. **JOB DUTIES:** + Monitor the evolving global regulatory ... assessments, disclosure controls and procedures, estimation approaches). + Key liaison with external audit firms to drive limited and...E, S, and G, across the globe to ensure regulatory reporting requirements. + Trains key employee groups on… more
- US Bank (Charlotte, NC)
- …and industry practice. - Inform policies, procedures, and controls to minimize regulatory exposure. - Identify gaps and implement solutions that mitigate risks such ... to ensure transparent and aligned objectives. - Serve as a functional liaison between the business line and the lines-of-defense including compliance and audit… more
- Fresenius Medical Center (Hartsville, SC)
- …service philosophy. Adheres to the FMCNA Compliance Program, including following all regulatory and FMS policy requirements. Ensure provision of quality patient care ... clinical operations in accordance with all legal, compliance, and regulatory requirements and programs. Adheres to all requirements of...the Director. + Plans, coordinates and acts as the liaison for patient care as per the disease management… more
- Bank of America (Charlotte, NC)
- …on the process. Prepare monthly production highlights to share with SLT, Liaison to Business Controls Exam Management for Regulatory requests, internal/external ... remediation of client cases for both procedural defects and Regulatory change cases. + Review entire remediation process to...+ Ensure teams is in adherence to all jurisdictional regulatory requirements related to KYC. + Engage with senior… more
- Ascensus (Charlotte, NC)
- …of day-to-day workflow processes required for client plans assigned. + Acts as a liaison with the client and Newport to ensure accuracy of plan recordkeeping and ... + Assists in the implementation and ongoing maintenance and application of regulatory requirements for client benefit accounts. + Responds to and documents… more
- Wells Fargo (Charlotte, NC)
- …both trade clearance and operational risk standpoints. + Act as a liaison between settlement and various internal and external clients/business partners (Middle ... complex functional and operational tasks that require in-depth evaluation. + Monitor regulatory buy-in processes and action accordingly (204, Reg-T, MSRB) + Leverage… more
- Bank of America (Charlotte, NC)
- …Front Line Units/Control Functions-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed + Assists in ... implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed +… more
- Bank of America (Charlotte, NC)
- …for the trade surveillance - market disruption, market manipulation, financial or regulatory risks . Identification of key trends, patterns in trading behaviors and ... with the modeling team to provide market structure and regulatory expertise to build surveillance models. . Participate in...ensure alignment with business strategies. . Serves as a liaison between the data, technology, and reporting teams in… more