- 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
- TIAA (Charlotte, NC)
- …**Physical Requirements** + Physical Requirements: Sedentary Work **Career Level** 11PL The Enterprise Senior Compliance Officer supports the SMD Enterprise ... **Enterprise Sr Compliance Officer ** The Enterprise Senior...for team leaders. + Develops and implements strong monitoring, surveillance , and metrics reporting programs and effective training content.… more
- Bank of America (Charlotte, NC)
- …Risk & Data Quality Testing Lead to join our team to support Global Compliance Operational Risk (GCOR) Chief Financial Officer (CFO) group testing portfolio. ... viability, accessing pertinent databases to source testing data, and collaborating with Compliance and Operational Risk officers and/or Front Line Unit (FLU) process… more
- Federal Reserve Bank (Charlotte, NC)
- …contributions to Supervisory Stress Testing, examination support, risk analysis, surveillance model development, and banking-related research. The position is a ... senior leadership role within the Federal Reserve Bank of...other divisions within SRC. This position is considered an officer level role, requiring capabilities, experiences, and skills commensurate… more