- Regions Bank (Charlotte, NC)
- …and logging into the careers section of the system. **Job Description:** At Regions, the Business Unit Compliance Function Manager operates as a first, ... manage 1-2 analysts and typically reports directly to the Business Unit Compliance Group Manager,...quality assurance/control, audit or other related compliance function specific to a line of business … more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates ... Financial Crimes Risk Management (FCRM) team. Learn more about career areas and business divisions at wellsfargojobs.com. The Compliance and IT&V team supports… more
- Bank of America (Charlotte, NC)
- … trade surveillance and operational risk oversight for a Front Line Unit , Control Function , and/or Third Parties. Key responsibilities include ensuring ... a timely manner. **Responsibilities:** + Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable… more
- Bank of America (Charlotte, NC)
- …defense compliance and operational risk oversight for a Front Line Unit , Control Function , and/or Third Parties. Key responsibilities include ensuring ... a timely manner. **Responsibilities:** + Assesses risks and effectiveness of Front Line Unit (FLU) processes and controls to ensure compliance with applicable… more
- Bank of America (Charlotte, NC)
- …of defense compliance and operational risk oversight for a Front-Line Unit , Control Function , and/or Third Parties. Key responsibilities include ensuring ... and Guidelines Management + Active Listening + Advisory + Business Process Analysis + Written Communications This job is... compliance and operational risk oversight of Front-Line Unit or Control Function performance and any… more
- Fifth Third Bank, NA (Charlotte, NC)
- …from other units as needed, such as the Legal Department, Audit Department or Business Unit . OTHER SKILLS: + Possesses ability to maintain professional composure ... a career in banking at Fifth Third Bank. GENERAL FUNCTION : Chief Compliance Officer, this position is...business leaders to ensure the implementation of effective compliance programs across the Bancorp and related lines of… more
- Honeywell (Charlotte, NC)
- …This role encompasses some of the following strategic objectives of the Trade Compliance function : + Ensuring import transactions are executed in compliance ... Sr Trade Compliance Analyst or Import Compliance Officer...quality of life of people around the globe. THE BUSINESS UNIT The Corporate Strategic Business… more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates ... compliance with procedures. + Lead internal (IT&V) and external ( business partners, audit, compliance , industry risk partners, regulators, etc.)… more
- Truist (Charlotte, NC)
- …with 2 or more regulations related to assigned Business Units or function 3. 7 years' compliance experience in banking or financial service industry ... enhance reporting, controls, processes, etc. across the organization or within a given business unit to ensure statistical efficiency, data integrity and system… more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates ... and channels to effectively respond. + Develop and maintain relationships with Business Aligned Compliance leaders, Audit Managers, and Regulators. **Team &… more
- Truist (Charlotte, NC)
- …and regulations applicable to coverage areas and provide regulatory guidance to assigned business unit and/or function associates. 2. Review regulatory ... of America) **Please review the following job description:** Responsible for conducting compliance risk oversight of assigned business units and/or functions.… more
- Bank of America (Charlotte, NC)
- …provide independent compliance and operational risk oversight of Front Line Unit or Control Function (FLU/CF) performance and any related third party/vendor ... Skills:** + Bachelor's Degree or equivalent experience + 7 years minimum of business and functional experience in a Risk Management/ Compliance /Audit role or a… more
- Truist (Charlotte, NC)
- …compliance actual and emerging risk scenarios within the Fixed Income Sales & Trading business unit and/or functions. 4. Take lead of the Fixed Income Sales & ... the following job description:** Responsible for conducting and directing compliance risk oversight of Sales & Trading business...Trading Surveillance function within the Compliance team which includes… more
- Truist (Charlotte, NC)
- …the following functions: a) infrastructure b) application development c) application support d) business unit risk management e) technology risk f) audit and g) ... the following sub-functions: a) governance b) risk and c) compliance with specific expertise in the areas of audit...that define 'our what' that may change based on business need + Design and implement audit governance and… more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements **Pay Range** ... as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates… more
- TD Bank (Charlotte, NC)
- …+ Expert knowledge of all main data sources for the data used within the business unit and ability to effectively utilize these data sources for reporting ... support, visualization / presentation, and solutions for a significant business / function and/or projects / initiative....and participates in knowledge transfer within the team and business unit + Keeps current on emerging… more
- Bank of America (Charlotte, NC)
- …on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include ... reporting + Manages and reviews all operations front line unit responses for regulatory exams, internal audits, and other...control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF).… more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates ... efficiencies as appropriate + Review strategic approaches and effectiveness of support function and business performance + Perform assessments through fact… more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates ... + Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics + Determine areas of strength or … more
- Wells Fargo (Charlotte, NC)
- …as well as making sound risk decisions commensurate with the business unit 's risk appetite and all risk and compliance program requirements. Candidates ... + Exercise independent judgment while developing the knowledge to understand function , policies, procedures, and compliance requirements + Collaborate and… more