Senior Compliance Officer

3 weeks ago

Charlotte, United States Apex Systems Full time

Senior/Lead Compliance Officer

Large Banking Client

Duration: 12-24 months

Location: Charlotte, NC (uptown) - 3 days onsite, 2 Remote


Top Must Have Requirements:

  • 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & Controls
  • RCSA Experience
  • Knowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending, Credit Card, Commercial Lending,
  • Banking & Financial Services


About this role:

Leads will be aligned to specific processes/Risk Assessable Units (RAUs) and be expected to provide review, guidance, challenge and decisions on the day-to-day activities occurring within the processes. As such, experienced resources will be needed to ensure they are able to provide thorough documentation while interacting with senior business leaders to get the information they need to fully understand potential downstream compliance impacts/risks.

Leads will need to have a financial services experience and familiarity with associated regulations so they can identify and utilize internal resources (e.g. policies, procedures) and external resources (e.g. regulatory citations, CFPB circulars) to ground compliance opinions and decisions.

Leads will also need to have risk and control experience so they are able to tie compliance requirements to industry standard mitigation mechanisms and understand how the components of the Risk Control Self-Assessment (RCSA) interlock with each other.


In this role, you will: Partner with Auto BACO team to provide oversight and monitoring of business group risk-based compliance programs.

Maintain compliance risk expertise for projects and initiatives.

Maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements.

Oversee the Front Line's execution and challenges appropriately on compliance related decisions.

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.

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.

Oversee the Front Line's execution and challenges appropriately on compliance related decisions.

Make decisions and resolve issues to meet business objectives.

Interpret policies, procedures, and compliance requirements.

Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.

Work with complex business units, rules, and regulations on moderate to high-risk compliance matters.

Interface with Audit, Legal, and other risk teams on risk related topics.


Required Qualifications, US:

5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.


Desired Qualifications:

Significant experience with lending compliance, including applicable rules and regulations (e.g. FDCPA, FCRA, UDAAP)

Experience and understanding of auto lending, specifically in operations, including servicing and collections.

Ability to identify and effectively communicate any challenge any risk in auto lending business and processes.

Experience completing risk assessments for lending compliance functions.

Excellent verbal, written, and interpersonal communication skills.

CRCM certification, or other legal, compliance, and/or auditor designation.

Knowledge and understanding of non-real estate consumer lending products and related compliance requirements.

Knowledge and understanding of the Risk Control Self-Assessment (RCSA) process.

Strong analytical skills with high attention to detail and accuracy

Ability to interact with all levels of an organization, in a complex matrixed environment.

Ability to articulate complex concepts in a clear manner.

Ability to negotiate, influence, and collaborate to build successful relationships.

Ability to exercise independent judgment and creative problem-solving techniques.

Experience working with examiners and internal auditors.

Advanced Microsoft Office skill

  • Senior Compliance Officer

    3 weeks ago

    charlotte, United States Apex Systems Full time

    Senior/Lead Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA ExperienceKnowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending,...

  • Senior Export Compliance Officer

    4 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,...

  • Compliance Officer

    2 months ago

    charlotte, United States Social Capital Resources Full time

    Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.Key Responsibilities:Regulatory Compliance: Ensure the firm complies...

  • Compliance Officer

    2 months ago

    Charlotte, United States Social Capital Resources Full time

    Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.Key Responsibilities:Regulatory Compliance: Ensure the firm complies...

  • Compliance Officer

    2 weeks ago

    charlotte, United States Apex Systems Full time

    Compliance OfficerLarge Banking ClientHybrid 3x/week onsite in Charlotte NC (Uptown)12-24 month+ contract, with potential to convert to FTEOn a W2 basis ONLY (no corp to corp or 1099)Top Must Have Requirements:· 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & Controls· RCSA Experience· Knowledge of Consumer...

  • Compliance Officer

    2 weeks ago

    Charlotte, United States Apex Systems Full time

    Compliance OfficerLarge Banking ClientHybrid 3x/week onsite in Charlotte NC (Uptown)12-24 month+ contract, with potential to convert to FTEOn a W2 basis ONLY (no corp to corp or 1099)Top Must Have Requirements:· 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & Controls· RCSA Experience· Knowledge of Consumer...

  • Compliance Officer

    2 weeks ago

    Charlotte, United States Apex Systems Full time

    Compliance OfficerLarge Banking ClientHybrid 3x/week onsite in Charlotte NC (Uptown)12-24 month+ contract, with potential to convert to FTEOn a W2 basis ONLY (no corp to corp or 1099)Top Must Have Requirements:· 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & Controls· RCSA Experience· Knowledge of Consumer...

  • Senior Export Compliance Officer

    1 month ago

    Charlotte, United States Pyramid Consulting, Inc Full time

    Immediate need for a talented Senior Export Compliance Officer. This is a 06+months contract opportunity with long-term potential and is located in Charlotte NC (Onsite). Please review the job description below and contact me ASAP if you are interested.Job ID:24-47023 Pay Range: $35 - $38/hour. Employee benefits include, but are not limited to, health...

  • Senior Export Compliance Officer

    1 month ago

    charlotte, United States Pyramid Consulting, Inc Full time

    Immediate need for a talented Senior Export Compliance Officer. This is a 06+months contract opportunity with long-term potential and is located in Charlotte NC (Onsite). Please review the job description below and contact me ASAP if you are interested.Job ID:24-47023 Pay Range: $35 - $38/hour. Employee benefits include, but are not limited to, health...

  • Senior Export Compliance Officer

    3 weeks ago

    charlotte, United States Pyramid Consulting, Inc Full time

    Immediate need for a talented Senior Export Compliance Officer. This is a 06+months contract opportunity with long-term potential and is located in Charlotte NC (Onsite). Please review the job description below and contact me ASAP if you are interested.Job ID:24-47023 Pay Range: $35 - $38/hour. Employee benefits include, but are not limited to, health...

  • Senior Export Compliance Officer

    2 weeks ago

    Charlotte, United States Pyramid Consulting, Inc Full time

    Immediate need for a talented Senior Export Compliance Officer. This is a 06+months contract opportunity with long-term potential and is located in Charlotte NC (Onsite). Please review the job description below and contact me ASAP if you are interested.Job ID:24-47023 Pay Range: $35 - $38/hour. Employee benefits include, but are not limited to, health...

  • Senior Compliance Officer

    3 weeks ago

    Charlotte, NC, United States Apex Systems Full time

    Senior/Lead Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA ExperienceKnowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending,...

  • Broker Dealer Compliance Officer

    1 month ago

    charlotte, United States Social Capital Resources Full time

    Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.Key Responsibilities:Regulatory Compliance: Ensure the firm complies...

  • Broker Dealer Compliance Officer

    2 months ago

    Charlotte, United States Social Capital Resources Full time

    Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.Key Responsibilities:Regulatory Compliance: Ensure the firm complies...

  • Compliance Officer

    3 weeks ago

    Charlotte, United States Innova Full time

    Innova Solutions has a client that is immediately hiring for a Compliance and Financial Crimes Officer-Title: Compliance and Financial Crimes Officer Job Type: Fulltime/Contract on W2Duration: 10+ month Locations:

  • Senior Export Compliance Specialist

    3 weeks ago

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

    Job Title: Senior Export Compliance SpecialistWe are seeking a Senior Export Compliance Specialist to join our team at Pyramid Consulting, Inc. in Charlotte, NC. This is a contract opportunity with a 6-month minimum commitment.Key Responsibilities:Support implementation and development of GTS in SAP.Perform unit, system, and integration testing for SAP/GTS...

  • RCSA/Compliance Officer

    3 weeks ago

    Charlotte, United States Apex Systems Full time

    RCSA/Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA Experience Knowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending, Credit...

  • RCSA/Compliance Officer

    3 weeks ago

    Charlotte, United States Apex Systems Full time

    RCSA/Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA Experience Knowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending, Credit...

  • RCSA/Compliance Officer

    2 weeks ago

    charlotte, United States Apex Systems Full time

    RCSA/Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA Experience Knowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending, Credit...

  • RCSA/Compliance Officer

    3 weeks ago

    charlotte, United States Apex Systems Full time

    RCSA/Compliance OfficerLarge Banking ClientDuration: 12-24 monthsLocation: Charlotte, NC (uptown) - 3 days onsite, 2 RemoteTop Must Have Requirements: 7+ years of experience in one of the following areas, Compliance, RCSA, Risk Assessments, Risk & ControlsRCSA Experience Knowledge of Consumer Lending Compliance - Auto Lending (plus), Home Lending, Credit...