- 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 ... (https://www.wellsfargojobs.com/career-areas/) . This role within the Macro Sales & Trading Compliance Team is a Business Aligned... Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this… more
- Wells Fargo (Charlotte, NC)
- …us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer (VP) to join our Corporate and Investment Banking (CIB) Trade Surveillance team, ... with a dedicated focus on Unauthorized Trading . This critical role identifies, assesses, and mitigates risks associated with trading activities that fall outside… 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, ... the identification, measurement, and management of market risk exposures across trading and investment portfolios. + Oversee interest risk strategies, including… more
- Bank OZK (Charlotte, NC)
- Job Purpose & Scope The VP, Trust Investment Officer constructs and manages individualized investment portfolios in conjunction with clients' financial needs and ... meetings and client portfolio review calls + Provide general investment expertise and trading capabilities + Generate and review trades in the stock and bond markets… more
- Robert Half Legal (Charlotte, NC)
- …& Chief Compliance Officer + Exposure to diverse aspects of compliance , from insider trading rules to global fundraising requirements + Opportunity to ... 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… more
- Deloitte (Charlotte, NC)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... technologies. Responsibilities include: + Helping importers and exporters achieve worldwide compliance and realize efficiencies in their global supply chain. +… more
- Bank of America (Charlotte, NC)
- …including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also ... Review and challenge key capital management activities, including Fundamental Review of the Trading Book (FRTB) and Basel 3 market risk rule implementation + Review… more
- Ralliant (Raleigh, NC)
- …Maintain and enhance corporate governance practices, including charters, policies, and insider trading programs. + Ensure compliance with NYSE listing standards, ... Governance, this role will serve as a strategic partner on public company compliance , corporate governance, M&A, and financing activity. This is a high-impact role… more
- Principal Financial Group (Charlotte, NC)
- …agility, and innovation in close partnership with the Chief Information Officer , investment and operations professionals, and business stakeholders. This leader will ... highly valued. + Experience working with regulatory officials and compliance professionals + Proven ability to operate effectively in...to personal and business conduct as well as personal trading activities for you and members of your household.… more
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