- USAA (Charlotte, NC)
- …to the quality of audit work. A key aspect of this role involves testing models and model-related tools as part of audit engagements. You will support ... available for this position. What you'll do: Contribute to continuous monitoring , advisory activities, special reviews, and investigations. Ensure assigned audit… more
- TD Bank (Charlotte, NC)
- …standards. management areas, broader organization, and enterprise as appropriate. **U.S. Compliance Monitoring and Testing provides governance, oversight, ... and support for central elements of the US Compliance Monitoring and Testing Program, including:** + Lead strategic planning efforts and support US … more
- TD Bank (Charlotte, NC)
- … Risk Assessment, regulatory controls management, Compliance Issue Management, Compliance Monitoring & Testing , Program Effectiveness Assessments, ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- Vanguard (Charlotte, NC)
- … compliance processes and program activities to support a robust Enterprise Compliance monitoring and testing program specific to Information Technology, ... build a compliance oversight program focused on implementation of monitoring and testing for IT, AI and Cybersecurity? Vanguard's Compliance Oversight is… more
- KeyBank (Charlotte, NC)
- …focus on deposit servicing functions. Additionally, the Compliance Manager will conduct compliance monitoring and testing to ensure compliance risks ... supporting deposit products is also applicable for mitigation of compliance risk. + Conduct compliance monitoring...well in a team environment. + Strong risk assessment, monitoring , and testing skills. + Sound decision-making… more
- KeyBank (Charlotte, NC)
- …to various lines of business. Additionally, the Compliance Officer will conduct compliance monitoring and testing to ensure compliance risks ... evolves and grows. + Proven ability to work in a team environment. + Compliance monitoring and testing skills. + Sound decision-making skills; able to make… more
- KeyBank (Charlotte, NC)
- …and a strong focus on risks and controls. + Knowledge of internal controls, compliance testing and monitoring processes (including analytics), and applicable ... Risk Management ["CRM"], the incumbent will provide second line of defense testing and monitoring of complaints. Specifically, this role will assist in… more
- Huntington National Bank (Charlotte, NC)
- …to determine adequacy and effectiveness of action taken. + Develop and execute compliance monitoring programs and periodic testing procedures, including work ... laws, regulations, and policies as well as regulatory best practices impacting the monitoring and testing programs. (This can be customized for specific segments… more
- Coinbase (Charlotte, NC)
- …of operations. *What you'll be doing: * Lead a team of 10-15 Compliance (Transaction Monitoring / AML and Fraud Investigations/EDD) Analysts; * Ensure ... connection, and alignment. Attendance is expected and fully supported. The Compliance team within Customer Experience (CX) is responsible for developing and… more
- Truist (Charlotte, NC)
- …incorporated into appropriate compliance policies, standards, processes, training, and monitoring / testing activities at an enterprise level. + Works with ... and assesses Truist's Corporate cybersecurity legal, regulatory and industry compliance . Executes strategies for closing cybersecurity management compliance … more
- Lilly (Concord, NC)
- …drug and drug/device combination products through effective execution of product testing . **Position Description:** The QC Environmental Monitoring Supervisor ... will provide oversight and supervision of the QC Environmental Monitoring Technicians. The QC Environmental Monitoring Supervisor will coordinate environmental … more
- Bank of America (Charlotte, NC)
- …test structure to determine automation viability, accessing pertinent databases to source testing data, and collaborating with Compliance and Operational Risk ... + Adaptability + Attention to Detail + Collaboration + Monitoring , Surveillance, and Testing + Problem Solving...Execution Manager and Test Lead, develops and executes assigned testing scope as prescribed by the Global Compliance… more
- Truist (Charlotte, NC)
- … testing team (RDT) team reporting to the Enterprise Data Assessment and Testing Director (within the Enterprise Independent monitoring and testing Team ... of Transaction testers. Also responsible for 2LOD Transaction and/or Conformance testing plan including overseeing the test planning and development, methodology,… more
- TD Bank (Charlotte, NC)
- …(COF) including.** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... Compliance programs (ie, risk assessments, 2nd line oversight of business monitoring and testing programs, new business initiatives), including frameworks,… more
- TD Bank (Charlotte, NC)
- …(COF) including;** + ** Compliance -wide frameworks, guidelines and standards for testing , monitoring , risk assessment, reporting and other activities** + ... risk and conduct risk within the US Wealth businesses;** + **Independently testing , monitoring and assessing the adequacy of, adherence to and effectiveness… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... oversight of the front-line Market Conduct & Supervision Program market abuse monitoring activities. Learn more about the career areas and business divisions at… more
- Regions Bank (Charlotte, NC)
- …will be impacted by these changes + Administers a monitoring and testing program to ensure effective compliance with all applicable laws and regulations ... + Conducts research of laws and regulations that impact compliance to include monitoring for new laws...like Excel, Tableau, Power BI + Assist with CRA testing and monitoring activities + Assist with… more
- City National Bank (Charlotte, NC)
- …Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance testing program and processes. * Performs research on regulations and ... test results along with comparable line of business QA testing results. * Conduct meetings to discuss testing...other tracking reports as deemed necessary. * Conduct regulatory compliance monitoring activities as assigned and maintain… more
- City National Bank (Charlotte, NC)
- …CRIMES COMPLIANCE II* WHAT IS THE OPPORTUNITY? Responsible for monitoring , analyzing, and escalating matters of regulatory or legal initiatives, requirements, ... in a BSA role required. * Minimum of 2 years experience with Compliance Risk Assessment testing and documentation. *Additional Qualifications* * ACAMS Certified… more
- Bank of America (Charlotte, NC)
- …committees + Directing the completion compliance activities such as: designing monitoring and testing routines and reporting to identify potential AML risks ... **Skills:** + Critical Thinking + Monitoring , Surveillance, and Testing + Regulatory Compliance + Risk Management + Coaching + Issue Management + Policies,… more
