- 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
- 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
- Bank of America (Charlotte, NC)
- …+ Presentation Skills + Written Communications + Issue Management + Monitoring, Surveillance , and Testing + Regulatory Compliance + Technical Documentation + ... with the trading desk and other risk and support groups (ie, Compliance , Finance, Operations, etc.). **Responsibilities:** + Provides oversight of identification of… 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