- USAA (Charlotte, NC)
- …makes us special and impactful. **The Opportunity** As a dedicated Compliance & Operational Risk Testing Programs Executive, you will be responsible for ... companies across the organization. + Directs the development of compliance & operational risk testing methodologies to be utilized for a line of business… more
- Synchrony (Charlotte, NC)
- …across the second line of defense, including Model Development & Governance, Operational Risk , Risk Testing , Compliance , and Credit Risk ... for leading, growing, and executing the adoption of full-file testing and monitoring of risks and controls using data...organization. This individual will work directly with stakeholders from Compliance , Operational Risk , and Enterprise… more
- Bank of America (Charlotte, NC)
- Compliance and Operational Risk Specialist...and Testing + Process Management + Regulatory Compliance + Reporting + Risk Management + Attention ... Join us! **Job Description:** This job is responsible for assisting the Compliance and Operational Risk officer team to execute second line of defense… more
- Bank of America (Charlotte, NC)
- Enterprise Privacy Compliance & Operational Risk Manager Charlotte, North Carolina;New York, New York; Chicago, Illinois; Plano, Texas **Job Description:** ... is a global team of subject-matter experts responsible for Compliance & Operational Risk coverage...Process Analysis + Issue Management + Monitoring, Surveillance, and Testing **Desired Skills** : + In depth knowledge of… more
- Bank of America (Charlotte, NC)
- Compliance and Operational Risk ...+ Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + ... This job is responsible for executing second line of defense compliance trade surveillance and operational risk oversight for a Front Line Unit, Control… more
- Bank of America (Charlotte, NC)
- Compliance and Operational Risk ...+ Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting + Risk Management + ... Technology. This job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function,… more
- Bank of America (Charlotte, NC)
- Director; Compliance and Operational Risk Manager Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a common purpose to ... understand external events, and business processes that present increased compliance or operational risk . +...driving a culture of improvement. + Build and implement risk -based coverage, including Monitoring, Testing and Targeted… more
- City National Bank (Charlotte, NC)
- …banking environment * Minimum 10 years of experience in risk management, operational risk management, compliance , or audit functions in the financial ... *MANAGER OPERATIONAL RISK MANAGEMENT OVERSIGHT* WHAT IS...ORBO team(s) in the execution of ORM framework key risk activities, including monitoring compliance with ORM… more
- Truist (Charlotte, NC)
- …(EOS) Operational Resilience as required by enterprise policy and Enterprise Risk Management programs. The Operational Resilience Business Unit (BU) is ... and Testing , and Enterprise Incident Management, working to mitigate operational disruptions and enable Truist to scale our responses through business readiness… more
- TD Bank (Charlotte, NC)
- …screening issues, including list management and rules + Proactively identify regulatory compliance and operational issues with the lists and implement solutions ... Manage multiple projects + Conduct remediation exercises + Perform sanctions controls testing respective to list updates + Participate in ad-hoc projects and… more
- US Bank (Charlotte, NC)
- …what you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of brokerage, investment advisory, institutional capital markets ... The ideal candidate will perform the following essential functions: + Conduct compliance testing of the business line's brokerage, investment advisory,… more
- TD Bank (Charlotte, NC)
- …First Line Compliance Center of Excellence (" Compliance COE"). The Compliance COE is responsible for the overall operational effectiveness and first line ... The First Line Compliance Governance and Control Specialist - 1B QC Testing Team Support will provide Compliance support and expertise, as it relates… more
- US Bank (Charlotte, NC)
- …what you excel at-all from Day One. **Job Description** Conduct regulatory compliance testing of capital markets, swap dealer, Municipal Securities Rulemaking ... products/services, systems, and associated risks/controls - Thorough knowledge of Risk / Compliance /Audit competencies - Strong analytical, process facilitation… more
- TD Bank (Charlotte, NC)
- …governance of Non-Model/EUC risk to the bank by managing and executing compliance and control testing to validate that Non-Models/EUC risks are managed in ... and act as an oversight function related to TD's enterprise/ operational Risk programs. Acts as a thought...including risk level assessment and controls + Compliance or QA/QC testing planning, implementation and… more
- TD Bank (Charlotte, NC)
- …support the governance of Non-Model/EUC risk to the bank by executing compliance and control testing to validate that Non-Models/EUC risks are managed in ... including risk level assessment and controls + Compliance or QA/QC testing or audit experience...+ Establishes and provides on-going analysis and reporting on operational risk and/or other major risk… more
- TD Bank (Charlotte, NC)
- ….** **The** **Senior Third Party Risk Management** **team, within the Operational Risk Management team is responsible for assisting businesses and Corporate ... requirements, and has accountability to identify themes driving non compliance ** **Establishes testing and oversight model of...party risk (and performance) management** **Knowledge of operational risk processes - especially risk… more
- TD Bank (Charlotte, NC)
- …identification and due diligence, enhanced due diligence, policy, governance, training and/or compliance assurance and testing + Manages and provides oversight ... and enhancing their knowledge and expertise; and employees assume responsibility in minimizing operational and regulatory risk by complying with Bank policy and… more
- US Bank (Charlotte, NC)
- …One. **Job Description** Partners with their assigned Line of Business, other Risk / Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their ... products/services, systems, and associated risks/controls - Thorough knowledge of Risk / Compliance /Audit competencies - Strong analytical, process facilitation… more
- Truist (Charlotte, NC)
- …and ensure adherence to the enterprise risk and operational risk programs . Manage performance of control testing activities (including control design ... and effectiveness testing ), compliance monitoring indicator (CMI) activities, and Issue Validation aligned...effective challenge to assigned Technology business units across all risk types to promote and strengthen compliance … more
- US Bank (Charlotte, NC)
- …(FRR) Capital Management team performs independent review of the regulatory capital, Risk Weighted Asset (RWA) calculation, stress testing and capital planning ... alignment with industry practices. Partners with Treasury, Regulatory Reporting, other Risk / Compliance /Audit (RCA) professionals, and RCA Managers to create,… more