Top Tech Jobs & Startup Jobs in Charlotte, NC

Perform FINRA/SEC supervisory principal duties including review and approval of new accounts and solicited trades, ensuring suitability and AML/CIP/KYC compliance. Produce centralized controls, exception and dashboard reports, support regulatory exams, maintain supervisory procedures, and partner with operations and field supervision to improve workflows and controls.

Provides compliance oversight, regulatory advice, effective challenge, and risk management for US Digital and Consumer Banking. The role monitors testing, issues, complaints, controls, and regulatory changes; advises business leaders; reviews new initiatives and AI-related risks; maps regulations to controls; and supports risk assessments, audits, exams, executive presentations, and remediation. The manager serves as a subject matter expert on consumer banking regulations and leads cross-functional efforts to strengthen compliance programs.

Executes independent, risk-based compliance testing and validation across bank business units. Researches regulations, develops test procedures, analyzes controls, identifies compliance issues, documents findings, validates corrective actions, and communicates results to management and business partners. The role also provides regulatory guidance, manages testing engagements, supports compliance initiatives, and contributes subject-matter expertise, mentoring, and process improvements.

Provides senior-level risk oversight, analysis, reporting, monitoring, and operational process support within Finance. Develops risk standards and mitigation processes, analyzes operational loss and risk data, monitors key risk indicators, supports regulatory and compliance initiatives, and advises business leaders on complex risk matters. Leads projects, remediation plans, governance activities, and process improvements while ensuring alignment with enterprise policies, financial controls, and regulatory requirements.

Lead and execute risk-based SOX/ICFR audits for financial reporting. Guide planning, testing, issue identification, remediation tracking, and stakeholder reporting. Mentor staff and liaise with senior leadership and external auditors.

Supports product control, financial reporting, analysis, and governance for assigned products or portfolios. Reviews P&L, balance sheet, valuation, reconciliations, variances, and exceptions; investigates discrepancies and supports remediation. Partners with Finance, Front Office, Market Risk, Operations, Technology, and control teams to maintain accurate reporting and effective controls. Prepares management reporting, maintains documentation, responds to stakeholder requests, and contributes to process improvement, automation, and transformation initiatives.

Conducts internal audits according to established plans and standards, including control walkthroughs, testing, issue identification, findings follow-up, and stakeholder communication. Reviews internal controls, identifies weaknesses, prepares reporting and presentations, supports audit initiatives, and recommends operational improvements. The role requires independent task management, regulatory awareness, sound audit knowledge, and collaboration across business units.

Lead and execute internal audit engagements, perform control testing and reporting, and serve as the primary Learning Administrator for audit training. Manage course scheduling, enrollments, attendance tracking, CPE recording, learning records, and provide instructional design and facilitation support. Partner with stakeholders and maintain confidential information.

Oversee and independently perform audits, including planning, control testing, issue management, reporting, and follow-up. Lead moderately complex audits, assess internal control effectiveness, identify risks and control gaps, communicate findings to stakeholders and management, and provide audit subject matter expertise. The role also involves maintaining audit standards, managing stakeholder communications, supporting initiatives, and coaching team members.

Performs and leads U.S. consumer compliance audits for banking governance, risk, and oversight functions. Executes control testing, walkthroughs, test scripts, issue identification, audit documentation, findings follow-up, and reporting. Evaluates internal control design and operating effectiveness, communicates with stakeholders and audit leadership, supports regulatory compliance reviews, and provides guidance to staff auditors. Requires an undergraduate degree and at least three years of relevant experience.