Trading Compliance Lead - Practices & Risk Oversight
Barings
Barings LLC is seeking an Associate Director for Trading Practices Compliance based in Charlotte, NC. This role involves overseeing day-to-day compliance activities, managing firm-wide trading risk, and interacting with various business units to mitigate regulatory exposure. The ideal candidate should have a strong financial services background, knowledge of multiple asset classes, and be detail-oriented. The role offers comprehensive benefits including medical coverage, a competitive 401(k) plan, and generous time-off policies. #J-18808-Ljbffr
- ...Executive Director - Data Risk Oversight Job Level: Executive Director... ...policies, and industry best practices. Within the Risk Management... ...across the firm. • Lead senior‑level engagement with... ...executives, Internal Audit, Compliance, and Regulatory Relations on...RiskFull timeWork at officeLocal areaWork from homeHome office
- ...Title: Associate Director, Trading Practices Compliance Business Unit: Compliance Location... ...‑to‑day surveillance and oversight activities for the Firm’s... ...the Firm’s trading risk, identifies breaches of policies... ...and regulatory obligations. Lead or contribute to key...RiskTemporary workFlexible hours
$133.37k - $156.9k
...One. Job Description The Risk Assessment Lead serves as a key member of the Cybersecurity Risk Oversight team within the Second Line... ...Technology and Information Security practices to ensure effective risk management and regulatory compliance. This position requires a...RiskTemporary workWork experience placementLocal area3 days per week- ...institution, AI introduces risk across model... ...customer impact, regulatory compliance, legal obligations,... ...Applied Responsible AI Lead works between the 1st... ...evaluation approaches, and practical guidance that allow... ...accountable ownership, human oversight provisions,...Risk
$91k - $136.24k
...compensation policies and practices have been designed to... .... Line of Business: Compliance Job Description Why... ...and scalable compliance risk management function. As... ...Regulatory Change Leads across the bank. Produce... ...organization Provides governance oversight through management of...RiskWork experience placementWork at officeLocal areaFlexible hours$115.44k - $186.16k
...compensation policies and practices have been designed to... ...Line of Business: Compliance Job Description:... ...and scalable compliance risk management function.... ...Serve as Compliance lead for managing and facilitating... ...and leadership to Oversight Functions and other assessment...RiskTemporary workWork experience placementWork at officeLocal areaImmediate startWork from homeFlexible hours$61.88k - $99.32k
...compensation policies and practices have been designed to... ...and is generally a lead or SME for a given area... ...Lines of Defense (LOD) Risk Framework: Risk Ownership (1LOD), Risk Oversight (2LOD), and Internal Audit... ...Oversight, and Regulatory Rule Compliance Identify...RiskLocal areaWork from homeFlexible hours$127.31k - $243.34k
...dedicated Pricing Analyst Lead, you will lead-level... ..., valuation, and/or risk management. Oversee... ...foundational practices and processes. Test... ...products. May provide oversight to pricing and/or loss... ...accordance with risk and compliance policies and procedures...RiskH1bWork at officeRemote work$102.4k - $204.1k
...Solutions Consulting Lead About Crowe Studio... ...Deployed Engineering (FDE) Practice partners with... ...coordination, budget oversight, and deliverable quality... ...adoption Manage project risks, issues, and changes... ...integrity at all times. In compliance with federal law, all...RiskLocal areaRemote workWorldwideFlexible hours- ...Insurance Group, LLC in Charlotte, NC, is seeking a Compliance Manager to oversee the development and oversight of compliance programs. The role requires 6-10... ...industry experience and entails managing compliance risk while collaborating with business units. Key responsibilities...Risk
- ...Senior Director, Head Of Trading Practices Compliance At Barings, we are as invested... ..., NC Barings is a leading global financial services firm... ...-to-day surveillance and oversight activities for the Firm's various... ...of the Firm's trading risk and identifying breaches to...RiskTemporary workFlexible hours
$170k - $200k
...Senior Risk Technologist Provides senior leadership level risk oversight and insight in driving the successful... ...and Agentic AI) to lead credible, technically... ...looking risk management practices, governance... ...security, and regulatory compliance. 3. Master's degree...RiskFull timeContract workPart timeWork at office$72.28k - $117.52k
...compensation policies and practices have been designed to... ...Line of Business: Risk Management Job... ...support and/or provide oversight, commentary, and strategy... ...for others Leads projects of moderately... ..., and Regulatory Rule Compliance Identify opportunities...RiskLocal areaWork from homeFlexible hours$91k - $145.6k
...compensation policies and practices have been designed to... ...Line of Business: Risk Management Job... ...to business leaders. Leads and supports the implementation... ...area. May provide oversight, commentary, and... ..., and Regulatory Rule Compliance Identify opportunities...RiskLocal areaWork from homeFlexible hours- ...compensation policies and practices have been designed to... .... Line of Business: Compliance Job Description:... ...and scalable compliance risk management function. As... ...: Serve as Compliance lead for managing and facilitating... ...and leadership to Oversight Functions and other...RiskFull timeTemporary workWork experience placementWork at officeImmediate start
$164.78k - $314.96k
...As a dedicated Bank Credit Risk Lead Analyst, you will leverage advanced... ...of operational and compliance risks. We offer a flexible... ...and shares industry leading practices and analytical skills to identify... ...management and committee oversight of existing and emerging risks...RiskH1bWork at officeRemote workRelocation packageFlexible hoursShift work$72.28k - $108.16k
...compensation policies and practices have been designed to... ...: Financial Crime Risk Management Job... ...Financial Crime Risk Business Oversight Analyst provides a... .../ATF/Sanctions/ABAC Compliance programs related to all... ...differentiate the organization Leads projects of moderately...RiskWork experience placementWork at officeLocal areaWork from homeFlexible hours$53.56 per hour
...seeking a Supervisor for Mortgage Servicing Oversight in Charlotte, NC. This role focuses on managing vendor relationships, ensuring compliance, and driving performance excellence in... ...significant experience in mortgage servicing, risk management, and strong leadership skills....RiskHourly pay- ...company office. We are seeking a data-driven risk professional with strong analytical and... ...risk monitoring, fraud detection, and compliance strategies. This role will be... ...to build risk reporting tools, enhance oversight frameworks, and support strategic decision...RiskWork at office
$133.37k - $156.9k
...Audit Manager - Professional Practices Strategy & Transformation is responsible... ...have direct reports, it will lead cross-functional project teams... ...efforts Leadership & Project Oversight Lead cross-functional project... ...experience in internal audit, risk management, or related field...RiskTemporary workWork experience placementWork at officeLocal area3 days per week$111.6k - $212k
...Business Information Security Lead - BISO (AI) to drive... ...data security and regulatory compliance are embedded across innovation... ...workloads, navigating evolving risk landscapes, and translating cybersecurity... ...teams on cybersecurity best practices during the design and...RiskWork experience placementLocal area- ...Operational Risk Consultant Sr. Business Risk Oversight Officer Job Category: Banking Requisition Number: OPERA016708 Location: On site at location(s)... ...the enterprise to solve complex challenges. Experience leading teams through change by creating a compelling vision for...Risk
$119.77k - $140.9k
...One. Job Description As an AI Technology Risk Manager, the role involves overseeing... ...partner with business lines, other Risk/Compliance/Audit (RCA) professionals, and RCA Managers... ...Ensure awareness and manage the oversight of the AI risk management processes and...RiskTemporary workWork experience placementWork at officeLocal area3 days per week$100k - $170k
...LEAD IT RISK CONTROLS ANALYST WHAT IS THE OPPORTUNITY? The Lead IT Risk Analyst is a... ...responsible for overseeing the ongoing compliance of requirements in alignment to City National... ..., and management of risk management practices that address the specific technical...RiskRemote work- ...Team: This opportunity supports a leading international financial... ...performing data platforms that power trading systems, risk management, finance, compliance, and internal operations. The environment... ...and infrastructure-as-code best practices Are you a proven database...Risk
$159k - $305k
...Senior Lead Treasury Consultant Wells Fargo's Global... ...industry insight, and best practices Guide strategic... ...client insight Provide oversight through implementation handoff... ...strong command of risk, profitability frameworks, compliance standards, and advisory governance...RiskWork experience placementWork at office$140k - $185k
...Lead Analyst, Product Compliance Circle is one of the world's leading internet financial platform companies... ...the product lifecycle by leading risk assessments, defining and validating... ...network-based payment products operate in practice ~ Ability to work cross-...RiskFlexible hours- ...Fund Transfer Pricing Lead Analyst - VP Working at Citi is far more than just a job... ...implementation of transfer pricing policies and practices globally. The individual will aid the... ...a bank's management of interest rate risk, liquidity, and capital. Clear and concise...RiskLocal area
- ...ensure operational excellence and compliance with policies and procedures to mitigate risk and protect the Bank and... ...& Scope Provides supervisory oversight to a team of advice and service... ...Licensing System and Registry) Leads, develops and coaches the team on...RiskTemporary work
$500 per month
...consistent store operations. You will lead major operational areas, including... ...and leading by example. Maintain compliance with food safety, sanitation, risk management, and all regulatory... ...inventory management, accurate ordering practices, shrink control, and operational...RiskWork at officeFlexible hoursShift workAfternoon shift
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