Lead Compliance Officer
3 weeks ago
Provide leadership and guidance to Wealth Investment Management products teams on various regulatory and policy requirements covering applicable products. Perform assessment and challenge the control environment covering investments products and alte Compliance Officer, Compliance, Officer, Lead, Investment, Banking, Business Services, Regulatory
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Senior Lead Compliance Officer
1 day ago
Charlotte, United States Wells Fargo Full timeAbout this role: Wells Fargo is seeking a Senior Lead Compliance Officer in Corporate Risk as part of Commercial Banking - Market Coverage and Specialized Industries Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com. This team has regulatory compliance oversight for businesses that focus on commercial customers with...
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Lead Compliance Officer Swap Dealer
2 days ago
Charlotte, United States Wells Fargo Full time**Lead Compliance Officer Swap Dealer** Location: Charlotte, North Carolina **Job ID** R-131108 At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better...
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Deputy Compliance Officer
3 weeks ago
Charlotte, United States FNZ Full timeRole Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...
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Deputy Compliance Officer
1 month ago
Charlotte, United States FNZ Group Full timeRole Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...
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AML Compliance Officer
3 weeks ago
Charlotte, United States FNZ Full timeRole Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...
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Manager, Compliance Officer
3 weeks ago
Charlotte, United States Teachers Insurance and Annuity Association - TIAA Full timeOversees compliance risk assessments to identify compliance issues, concerns, and deficiencies. Develops and executes monitoring and testing plans to reasonably ensure compliance with applicable laws, regulations, and internal policies and standards Compliance, Compliance Officer, Manager, Officer, Trust, Monitoring, Business Services
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Senior Compliance Officer
3 weeks ago
Charlotte, United States Truist Financial Corporation Full timeResponsible for conducting and directing compliance risk oversight of assigned business units (Broker Dealer) and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Ma Compliance Officer, Broker, Compliance, Officer, Senior, Management, Banking
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AML Compliance Officer
2 weeks ago
Charlotte, United States FNZ Group Full timeRole Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...
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Compliance Officer
7 days ago
Charlotte, United States Truist Financial Corporation Full timeThe position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...
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Senior Compliance Officer
7 days ago
Charlotte, United States Truist Financial Corporation Full timeThe position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...
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Enterprise Compliance Officer
7 days ago
Charlotte, United States Teachers Insurance and Annuity Association - TIAA Full timeLead the tuning and optimization of existing models for enhanced accuracy and efficiency, find the gaps in existing models and develop/implement new models. Conduct detail testing and validation of AML models, document the results and recommend impro Compliance Officer, Optimization, Enterprise, Officer, Compliance, Operations Analyst, Business Services
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Enterprise Compliance Officer
7 days ago
Charlotte, United States Teachers Insurance and Annuity Association - TIAA Full timeLead the tuning and optimization of existing models for enhanced accuracy and efficiency, find the gaps in existing models and develop/implement new models. Conduct detail testing and validation of AML models, document the results and recommend impr Compliance Officer, Optimization, Enterprise, Officer, Compliance, Operations Analyst, Business Services
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Compliance Officer
7 days ago
Charlotte, United States Truist Financial Corporation Full timeThe position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...
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Director, Enterprise Compliance Officer
1 day ago
Charlotte, North Carolina, United States TIAA Full timeThe Enterprise Compliance Officer is responsible for providing dedicated support for Wealth Management in administering the global regulatory review process for the approval of communications and managing the team that provides advice and guidance regarding the applicability of rules, regulatory and jurisdictional requirements, internal review standards, and...
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Senior Compliance Officer
7 days ago
Charlotte, United States Truist Financial Corporation Full timeThe position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...
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Code Compliance Officer
7 days ago
Port Charlotte, United States County of Charlotte Florida Full timePerforms skilled field inspection and code enforcement work in securing compliance with the County building, zoning, and land development codes, ordinances, and regulations, as well as other County laws, codes, and ordinances governing land use and d Compliance Officer, Officer, Compliance, Land Development, Contractor, Business Services, Inspection
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Charlotte, United States Nceda Full timeLocation: Charlotte, NC Position: Compliance Officer SUMMARY Position serves as the BDI (Business Diversity & Inclusion) Compliance Officer, responsible for coordination of supplier diversity and inclusion policies, guidelines, and procedures. Serves as the liaison between Mecklenburg County and the business community with primary focus on identifying MWSBEs...
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Sr. Compliance Associate
2 days ago
Charlotte, United States Teachers Insurance and Annuity Association - TIAA Full timeExtensive domestic travel is required, must be able to travel up to 50% or more as needed. Perform pre-examination review of reports and data for representatives at the targeted location. Schedule travel arrangements and coordinate meetings with ap Compliance, Office, Associate, Inspection, Total Rewards, Business Partner, Business Services
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Code Compliance Officer
1 day ago
Port Charlotte, United States Charlotte County (FL) Full timeGeneral Summary & Essential Responsibilities JOB SUMMARY Performs skilled field inspection and code enforcement work in securing compliance with the County building, zoning, and land development codes, ordinances, and regulations, as well as other County laws, codes, and ordinances governing land use and development to promote the health, safety, morals,...
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Compliance Associate
1 week ago
Charlotte, United States Larson Maddox Full timeA growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Compliance Associate! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the office. The Compliance Associate will be...