Current jobs related to Lead Compliance Officer Swap Dealer - Charlotte, North Carolina - Wells Fargo

  • Compliance Officer

    4 weeks ago

    Charlotte, North Carolina, United States Social Capital Resources Full time

    Compliance Officer - Broker DealerAt Social Capital Resources, we are seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee our compliance program. This role is critical in ensuring adherence to regulatory requirements, safeguarding our reputation, and mitigating compliance risks.Key...

  • Compliance Officer

    4 weeks ago

    Charlotte, North Carolina, United States Social Capital Resources Full time

    Compliance Officer - Broker DealerAt Social Capital Resources, we are seeking an experienced Compliance Officer to oversee our compliance program for the broker-dealer industry. This critical role ensures adherence to regulatory requirements, safeguards our reputation, and mitigates compliance risks.Key Responsibilities:Regulatory Compliance: Ensure our firm...

  • Compliance Manager

    3 weeks ago

    Charlotte, North Carolina, United States BCI - Brokerage Consultants Inc Full time

    Compliance ManagerInstitutional fixed income trading firm BCI - Brokerage Consultants Inc seeks a Compliance Manager to ensure compliance with FINRA/SEC regulations, assist with broker-dealer program, and provide guidance to personnel firm-wide.Responsibilities:Maintain in-depth knowledge of business/activities to ensure adequate compliance...

  • Experienced Dealer Relationship Manager

    4 weeks ago

    Charlotte, North Carolina, United States Credito Real USA Finance Full time

    Unlock Your Potential as a Dealer Relationship ManagerWe are a leading automobile loan provider seeking a highly motivated and personable Dealer Relationship Manager to expand our dealer base. This role involves partnering with current dealers and acquiring new ones, leveraging your exceptional communication skills and business acumen to drive growth.Key...

  • Experienced Dealer Relationship Manager

    4 weeks ago

    Charlotte, North Carolina, United States Credito Real USA Finance Full time

    Dealer Relationship Manager OpportunityWe are a leading auto loan provider seeking a highly motivated and personable Dealer Relationship Manager to expand our dealer base. This role involves partnering with current dealers and acquiring new ones, leveraging a strong commission structure and generous car allowance.Key Responsibilities:Develop and maintain...

  • Compliance Officer

    4 weeks ago

    Charlotte, North Carolina, United States PeopleSolutionsNOW Full time

    Job Title: Agency Compliance OfficerWe are seeking a highly skilled and detail-oriented Agency Compliance Officer to join our team at PeopleSolutionsNOW. As a key member of our compliance team, you will be responsible for ensuring that our financial services company adheres to all relevant regulations and rules.Key Responsibilities:Conduct regular reviews of...

  • Compliance Manager

    3 weeks ago

    Charlotte, North Carolina, United States Trade Compliance Recruiting Solutions Full time

    Job DescriptionOverviewWe are seeking a highly skilled Compliance Manager to establish and lead our export compliance program.This role will report to the Director, Trade Compliance and will be based in the Charlotte, NC or San Diego area.Key ResponsibilitiesCreate and implement export compliance proceduresDevelop and conduct training programs for internal...

  • Compliance Officer

    4 weeks ago

    Charlotte, North Carolina, United States PeopleSolutionsNOW Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer to join our team at PeopleSolutionsNOW. This role will be responsible for monitoring and adhering to all Company and Regulatory rules and regulations.Key ResponsibilitiesConduct regular reviews of email and social media to ensure compliance with Company policiesWork closely with Advisors to...

  • BSA/AML Compliance Officer

    3 weeks ago

    Charlotte, North Carolina, United States Figure Markets Full time

    About Figure MarketsFigure Markets is a leading blockchain-based financial institution that is revolutionizing the way we think about finance. Our mission is to provide a secure, transparent, and efficient platform for individuals and businesses to buy, sell, and trade a wide range of financial instruments.About the RoleWe are seeking an experienced BSA/AML...

  • Senior Export Compliance Officer

    3 weeks ago

    Charlotte, North Carolina, United States Pyramid Consulting, Inc Full time

    Pyramid Consulting, Inc. is seeking a highly skilled Senior Export Compliance Officer to support the implementation and development of Global Trade Systems (GTS) in SAP. This is a contract opportunity with long-term potential and is located in Charlotte, NC.Key Responsibilities:Supports the implementation and development of GTS in SAP.Performs unit, system,...

  • Chief Compliance Officer

    4 weeks ago

    Charlotte, North Carolina, United States Fifth Third Full time

    Job Title: Chief Compliance OfficerFifth Third Bank, National Association is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our Wealth Advisors division, you will be responsible for ensuring that our policies and procedures are designed to prevent violations of the Investment Advisers Act of 1940 and...

  • Senior Credit Officer

    4 weeks ago

    Charlotte, North Carolina, United States HomeTrust Bank Full time

    Job SummaryThe Senior Credit Officer is a key member of the banking team, responsible for making informed credit decisions that drive business growth while minimizing risk. This role requires a deep understanding of commercial lending, credit analysis, and risk management.Key ResponsibilitiesMake sound credit decisions for commercial banking credits and...

  • Compliance Framework Lead

    4 weeks ago

    Charlotte, North Carolina, United States SoFi Full time

    Job Title: Compliance Framework LeadAt SoFi, we're committed to shaping a brighter financial future for our members. As a Compliance Framework Lead, you'll play a critical role in ensuring our business operations align with regulatory requirements and internal policies.Key Responsibilities:Develop and implement a comprehensive compliance framework to ensure...

  • Compliance Officer

    3 weeks ago

    Charlotte, North Carolina, United States destinationone Consulting Full time

    Job OverviewDestinationone Consulting is a leading recruitment agency specializing in diverse sectors, including Healthcare, Health Tech, Government, Municipalities, Non-Profits, Legal, and Public Accounting. We are proactively building a database of opportunities in these fields. By applying, you ensure our recruiters can quickly match you with suitable...

  • Account Representative Authorized Dealer of AT&T

    4 weeks ago

    Charlotte, North Carolina, United States New Age Marketing Inc Full time

    Job Title: Account Representative Authorized Dealer of AT&TWe are seeking a highly motivated and results-driven Sales Associate to join our team at New Age Marketing Inc. As an Account Representative Authorized Dealer of AT&T, you will be responsible for providing exceptional customer service and sales support to our customers.Key Responsibilities:Direct...

  • Regional Director, Broker Dealer Group Leader

    4 weeks ago

    Charlotte, North Carolina, United States Dimensional Fund Advisors, L.P. Full time

    Job Description:The Global Client Group at Dimensional Fund Advisors, L.P. is responsible for acquiring long-term client relationships and increasing the firm's reach in the marketplace. Team members work closely with institutions and financial advisors to offer focused, specialized support and ensure a consistently impeccable client experience.Key...

  • Compliance Officer

    3 weeks ago

    Charlotte, North Carolina, United States Great Lakes Petroleum Full time

    Job OverviewAs a key member of the Great Lakes Petroleum team, the Compliance Coordinator will play a critical role in ensuring the company's facilities and operations comply with all relevant building codes and regulations. Key ResponsibilitiesOversee compliance with building codes and regulations at all Great Lakes Petroleum locations.Identify and address...

  • Senior Credit Officer

    1 month ago

    Charlotte, North Carolina, United States HomeTrust Bank Full time

    Job SummaryThe Senior Credit Officer is a key member of the banking team, responsible for making informed credit decisions that align with the bank's risk tolerance and corporate credit culture. This role requires strong analytical and communication skills, as well as the ability to work closely with market presidents and other stakeholders to drive loan...

  • Chief Compliance Officer

    4 weeks ago

    Charlotte, North Carolina, United States Fifth Third Full time

    Job Title: Chief Compliance OfficerFifth Third Bank, National Association is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our organization, you will be responsible for ensuring that our policies and procedures are designed to prevent violations of the Investment Advisers Act of 1940 and other...

  • Compliance Officer

    3 weeks ago

    Charlotte, North Carolina, United States PeopleSolutionsNOW Full time

    PeopleSolutionsNOW is conducting a confidential search on behalf of a Financial Services Company. We are seeking a highly skilled Compliance Officer to join our team.Key ResponsibilitiesConduct email and social media review and work with Advisors on corrective actions as necessaryConduct Personal Interviews and Detached Office reviewsDevelop and implement...

Lead Compliance Officer Swap Dealer

2 months ago

Charlotte, North Carolina, United States Wells Fargo Full time
About this role:

Wells Fargo is seeking a Lead Compliance Officer to support the Compliance Program for the Wells Fargo Bank National Association Swap Dealer. This role will provide oversight and monitoring of business group risk-based compliance programs, maintain compliance risk expertise, and establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory requirements.

Key Responsibilities:
  • Provide oversight and monitoring of business group risk-based compliance programs
  • Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines
  • Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal, and regulatory requirements
  • Oversee the Front Line's execution and challenges appropriately on compliance-related decisions
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change
  • Report findings and make recommendations to management and appropriate committees
  • Identify and recommend opportunities for process improvement and risk control development
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
  • Monitor the reporting, escalation, and timely remediation of issues, deficiencies, or regulatory matters regarding compliance risk management
Requirements:
  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the work experience, training, military experience, education
  • Outstanding problem-solving and decision-making skills
  • Experience in problem analysis, solution implementation, and change management
  • Ability to exercise independent judgment to identify and resolve problems
  • Ability to deliver multiple concurrent projects or large-scale individual projects
  • Excellent verbal, written, and interpersonal communication skills
  • Strong collaboration and partnering skills
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Strong organizational, multi-tasking, and prioritizing skills
  • Ability to execute in a fast-paced, high-demand environment while balancing multiple priorities
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
  • Risk or regulatory compliance experience in a financial services, audit, or regulatory organization
  • Proficiency in assessing and documenting a Compliance Program
  • Experience with Swap Dealer regulations
What We Offer:

Wells Fargo is an equal opportunity employer and welcomes applications from all qualified candidates. We offer a competitive salary, comprehensive benefits package, and opportunities for professional growth and development.