Manager, Compliance Officer

Job DescriptionJob DescriptionHIGH LEVEL OVERVIEWNewly created position to start up an export compliance program.Report to the Director, Trade Compliance. Hybrid in the Charlotte, NC or San Diego or areas.EXPECTATIONSCreate and run the export compliance and licensing program Serve as an Empowered OfficialDevelop and implement proceduresConduct training and...

The 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...

Role 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...

Role 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...

The 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...

Role 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...

Role 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...

The 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...

Responsible 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

Location: 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...

The 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...

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 d Compliance Officer, Officer, Compliance, Land Development, Contractor, Business Services, Inspection

About 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...

The 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...

**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...

Lead 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

Lead 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

Job Description: At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for...

Our Enterprise Fortune 50 Financial Services client is looking for a strong Internal Auditor with a background in Risk and Controls. You will join a Consumer Leading team looking to hire multiple highly motivated Compliance Specialists and Auditors. Lead Compliance Officer for ECBE (Consumer Lending) Locations: Charlotte, Irving, Minneapolis , Des Moines,...

The 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...