- USAA (Charlotte, NC)
- …special! **The Opportunity** We are seeking a dedicated Enterprise Compliance and Operational Risk Testing Analyst Senior-CFO to work a hybrid schedule ... rules, regulations, policies, and procedures. The enterprise Compliance and Operational Risk Testing (ECORT) Analyst Senior supports the Second Line of… 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
- Regions Bank (Charlotte, NC)
- …processes and procedures + Leads collaboration with Compliance and Non-Financial Risk executives in executing the testing program + Understands Regions' ... of the system. **Job Description:** At Regions, the Enterprise Risk Testing Manager is a second line...Relevant, applicable certifications and/or licenses + Advanced knowledge of compliance and operational risks **Skills and Competencies**… more
- Wells Fargo (Charlotte, NC)
- …Risk & Control Assessments, Risk Measurement, Issue Management, Operational Risk Events, Scenario Analysis & Stress Testing , Testing & Monitoring) ... of all applicable risk programs (Credit, Market, Financial Crimes, Operational , Regulatory Compliance ), which includes effectively following and adhering to… 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
- Office of the Comptroller of the Currency (Charlotte, NC)
- …As a National Bank Examiner/Bank Examiner (Large Bank Field Examiner) with emphasis in Operational Risk , you will conduct and assist in the supervision of ... a National Bank Examiner/Bank Examiner (Large Banks Field Examiner) with emphasis in Operational Risk , you will: Oversee ongoing supervisory efforts of … 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
- 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
- Bank of America (Charlotte, NC)
- …Join us! **Job Description:** Global Economic Sanctions ("GES") is responsible for dedicated compliance and operational risk management of processes unique ... issues management, and monitoring and testing from a sanctions compliance and risk perspective. This role is an individual contributor within the Sanctions… 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