• Senior Lead Compliance Officer…

    Wells Fargo (Charlotte, NC)
    …and Investment Banking (CIB) Compliance team and requires deep expertise in broker - dealer regulations and lending compliance . **In this role, you will:** ... role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products...in FINRA, SEC, FRB, and OCC regulations related to broker - dealer and ABS activities. + Familiarity with… more
    Wells Fargo (08/19/25)
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  • Lead Compliance Officer - Corporate…

    Wells Fargo (Charlotte, NC)
    **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...Dealers, and associated regulators (eg, investment banking, financial markets, Broker - Dealer , Swap Dealer , Futures Commission… more
    Wells Fargo (08/15/25)
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  • Chief Compliance Officer

    Equitable (Charlotte, NC)
    Chief Compliance Officer ( 250000CZ ) **Primary... compliance experience, preferably with a wholesale distributing broker dealer and/or in a senior ... unlock your potential? Reporting directly to the Equitable Financial Chief Compliance Officer , the role is responsible for maintaining, developing and managing… more
    Equitable (07/15/25)
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  • Senior Compliance Officer - Customer…

    Truist (Charlotte, NC)
    …with all levels of management Preferred Qualifications: 1. Proven Broker / Dealer product knowledge/expertise 2. Eight years of compliance experience, with ... and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise… more
    Truist (07/23/25)
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  • EFR Liquidity Risk Sr. Specialist

    Bank of America (Charlotte, NC)
    …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and… more
    Bank of America (07/18/25)
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  • Specialist, Mortgage & Real Estate

    Lincoln Financial (Charlotte, NC)
    …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... + Interfacing with internal and external stakeholders, including production officer , production analyst, correspondent, borrower, in-house counsel, outside counsel,… more
    Lincoln Financial (08/09/25)
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