- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... your potential? Reporting directly to the Equitable Financial Chief Compliance Officer , the role is responsible for...the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/ FINRA … more
- Wells Fargo (Charlotte, NC)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... applicable FINRA , SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and lending activities.… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of… more
- Truist (Charlotte, NC)
- …(United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance ... to meet regulatory requirements. 3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions. 4.… more
- US Bank (Charlotte, NC)
- …(BSA/AML) Officer is accountable for overseeing the Financial Crimes Compliance program and leads Enterprise Financial Crimes Compliance . The BSA/AML ... jurisdictions and is accountable for coordinating, monitoring, and managing compliance with financial crimes laws. The BSA/AML Officer...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- US Bank (Charlotte, NC)
- …financial risks across the organization. Reporting directly to the Chief Risk Officer , this role provides strategic and operational leadership for market risk, ... financial risk disciplines. + Lead regulatory interactions and ensure compliance with financial risk-related requirements. + Drive strategic initiatives, integrate… more
- PNC (Charlotte, NC)
- …have an opportunity to contribute to the company's success. As a Mortgage Loan Officer within PNC's Mortgage organization, you will be based in North Carolina which ... solutions and refers products and services; reviews documentation to ensure compliance . Manages customer pipeline for efficiency. + Collaborates with internal and… more
- Robert Half Legal (Charlotte, NC)
- …make an impact but also build toward a clear path to becoming a Chief Compliance Officer (CCO)! Compensation Highlights: ✨ Competitive salary paired with a bonus ... growth with mentorship from the General Counsel & Chief Compliance Officer + Exposure to diverse aspects...global fundraising requirements + Opportunity to master tools like FINRA IARD and regulatory filings like Form ADV and… more
- Wells Fargo (Charlotte, NC)
- …Consultant) in Corporate Investment Banking (CIB) as part of The Chief Operating Officer (COO), within our CIB Banking Capital & Portfolio Management Group. Learn ... Visa sponsorship is not available + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background… more