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Oversee the review the program reporting provided by staff of the daily AML and sanctions compliance monitoring for account openings, KYC customer risk assessments and customer activity and financial transactions.
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Ensure effective design of and compliance with internal controls and SOX compliance. Coordinate with internal and external auditor teams as needed to support internal and external financial reporting.
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The Senior Lead Operational Risk Officer will provide Policy compliance, technology risk management, and risk management governance subject matter expertise within the Insider Threat Policy & Governance Oversight team within the broader Fraud and Insider Threat Risk Oversight team.
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Actively ensure compliance with the U.S. Bank Code of Ethics and all AML, BSA, information security, and suspicious activity reporting requirements, policies and procedures. Partners with their assigned Line of Business, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers to, depending on their function, create, implement, maintain, review or oversee an effective risk management framework.
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Background checks must be in compliance with all federal and state statutes, such as the Fair Credit Reporting Act (FCRA). This position is responsible for assuring compliance with the Federal Transit Administration's (FTA) Equal Employment Opportunity (EEO) Program and the FTA Title VI of the Civil Rights Act of 1964, Environmental Justice and Limited English Proficiency (LEP) FTA. This position administers, coordinates, and assures completion of the department's Title VI and EEO program and submissions to the FTA in compliance with federal guidelines.
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The role will be focused on activity in Global Markets – Bank of America Securities (“BofAS), and Global Wealth Investment Management – Merrill Lynch, Pierce, Fenner & Smith (“MLPFS”) as well as Bank of America Private Bank and Consumer Investments/Merrill Edge. The team will focus on detecting, escalating, and reporting potential suspicious activity to meet BSA regulatory expectations as well as supporting internal policy requirements.
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Lead the information barrier compliance oversight process, international regulatory filings and reporting, and various projects and compliance oversight activities to support the Asset Management risk-based compliance program to assure compliance with significant regulatory requirements (i.e., SEC, CFTC, etc.
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This position reports to the Vice President, Compliance Officer for Nuveen Americas Distribution Compliance, who is responsible for contributing to the development of strategy, and managing the execution of the Nuveen Securities, LLC and Nuveen Canada Company, Compliance Programs.
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As a member of the Deriva Cybersecurity Team, reporting directly to the Director of Cybersecurity & IT Compliance, your contributions will be key in driving our cybersecurity strategies and safeguarding our digital assets across the organization.
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Develop, implement, and maintain a comprehensive GRC program to ensure compliance with relevant laws, regulations, and industry standards (e.g., HIPAA, PCI DSS). Prepare reports and presentations for senior management, highlighting compliance status, risk exposure, and recommended actions.
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Driving compliance to requirements and continuous process improvement by influencing and partnering with enterprise wide partners and executives including Global Financial Control, Centralized Regulatory Reporting, Enterprise Stress Testing, Enterprise Data Management, Balance Sheet Capital Management, Corporate Audit, Finance, Compliance, Operational Risk and others.
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Collaborate with department and initiative and department owners, VP Strategy, LEED, LEED Directors and Sr. Managers to develop and monitor compliance with LEED financial reporting rules and to set annual expense shift goals across the LEED ecosystem.
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ACTS-Aviation Security Inc. has an immediate opening for a Compliance & Training Supervisor at Charlotte Douglas International Airport, North Carolina. 3 years of operational Airport Security, training and compliance experience.
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My client is seeking a Senior Business Analyst (SBA) to be the IT lead on in supporting the development and deployment of the SOX Compliance program. This role will work directly with Finance, Risk Management, and Operations business leadership to define the SOX compliance footprint and in providing the documentation/testing to validate SOX compliance.
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Actively ensure compliance with all US Bancorp policies and procedures such as Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, etc.
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tiger reporting compliance jobs in Charlotte, NC
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