Trading Compliance Lead - Practices & Risk Oversight
Barings LLC
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 Barings LLC
- ...seeks an experienced regulatory oversight professional to support the... ...-office oversight to ensure compliance with evolving policies and regulations... ...will assist with audits, risk assessments, and regulator... ..., Risk, and business leads to maintain robust supervisory...Risk
- ...underwriting, and development and oversight of the team. Communicate... ...credit underwriting risk strategies while ensuring compliance with regulatory... ...and portfolio management practices are aligned with the bank... ...history of success.As a leading diversified financial services...RiskWork at office
- ...with you. Corporate Risk helps all Wells... ..., regulatory compliance, reputation, strategic... ..., and shares best practices. In addition, the... ...Bank N.A. seeks a Lead Securities Algorithmic... ..., and managing trading algorithms for... ...Review and provide oversight for moderately complex...RiskFull time
- ## Compliance Risk Assessment LeadApplyremote type: On Sitelocations: Charlotte... ...compensation policies and practices have been designed to allow... ...:* Serve as Compliance lead for managing and facilitating... ...expertise and leadership to Oversight Functions and other assessment...RiskTemporary workWork experience placementWork at officeLocal areaImmediate startWork from homeFlexible hours
- ...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
- ...experienced Audit Director to lead Market Risk audits from the 3LOD and... ...Charlotte and will focus on trading and non trading market risk... ...improvement opportunities and propose practical, risk aligned corrective... ...coaching, guidance, and oversight to junior auditors and co sourced...Risk
- ...underwriting, and ensuring compliance with bank and... ...work requires little oversight. Primary Responsibilities... ...Commercial portfolio. Ensure risks are identified timely,... ...portfolio management practices are aligned with the... ...objectives. Lead on complex transactions...RiskWork at 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
- KeyCorp seeks a Sr. Cybersecurity Risk Oversight Professional to provide independent 2nd line oversight of technology and information security... ...partner with leaders to implement mitigations while ensuring compliance with risk requirements. Responsibilities include monitoring...Risk
- ...Description Business Risk Oversight Officer within our second line of defense (2LOD), you will serve as a critical partner providing independent... ...the enterprise to solve complex challenges. Experience leading teams through change by creating a compelling vision for...Risk
- ...compensation policies and practices have been designed to... ...excellence and compliance with policies and procedures to mitigate risk and protect the Bank and... ...* Provides supervisory oversight to a team of advice and... ...System and Registry)* Leads, develops and coaches the...RiskTemporary workWork at officeLocal areaWork from homeFlexible hours
- ...Portfolio Managers Communicate and execute credit underwriting risk strategies Ensure compliance with regulatory guidelines Manage a small assigned... ...of commercial lending (C&I & Cap markets), underwriting practices, and banking practices Knowledge of commercial banking...Risk
- ...Business Analyst specializing in Trade Surveillance to join our... ...of experience in trading, risk management, and compliance, with a strong... ...regulations and industry best practices. Facilitate communication between... ...and surveillance analysts. Lead or support projects related...Risk
- ...meet assigned goals, mitigate risk and underwrite transactions... ...Accountable for risk management, compliance and audit performance for... ...and aptitude to be successful leading others. Proven consistent and... .... Tobacco-Free Hiring Practice: Visit Huntington's Career Web...RiskWork at officeRemote workWork from homeFlexible hours
- Operational Risk Oversight Officer Responsibilities Independently assess operational risk and control environments across business units, ensuring risks and controls are properly identified, designed, and effective. Review and challenge RCSAs, KRIs, and control effectiveness...Risk
- ...effective and unbiased oversight supporting the... ...leader duties to ensure compliance with the policy and procedures... ...internal audits, risk assessments, OSJ inspections... ..., and industry best practices. Presents higher... ...wellbeing of our clients. To lead through product and...Risk
$191k - $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- ...seeking a senior Change Management lead to drive enterprise adoption of... ...aligning engineering, business, and risk stakeholders through rollout. You... ...with IT, Legal, and Compliance, and a commitment to responsible AI practices. #J-18808-Ljbffr TechDigital GroupRisk
- Teguar is a leading provider of cutting-edge industrial and medical... ...We are seeking a Regulatory Compliance & Quality Manager to lead regulatory... ...regulatory expertise with practical quality systems experience... ...external audits. Drive CAPA, risk management, and change-...RiskWork at office
- ...compensation policies and practices have been designed to... .... Line of Business: Risk Management Job... ...support and/or provide oversight, commentary, and strategy... ...a resource for others Leads projects of moderately... ...reporting practices to assess compliance with regulatory...RiskFull timeFlexible hours
- ...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... ...reporting practices to assess compliance with regulatory...RiskFull timeWork experience placementLocal areaWork from homeFlexible hours
$71k - $125k
...the Job The Home Lending Compliance Officer will be a member of the... ...team within Compliance Risk Management. They will provide... ...related to compliance, perform oversight activities and assume responsibility... ...protection regulations. Practical knowledge of internal controls...RiskWork at officeFlexible hours- ...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
$245.1k - $279.8k
...Director, Commercial Risk Review Capital One... ...Senior Director who will lead a team of reviewers... ...Providing supervisory oversight to Targeted Reviews... ...guidelines, policies and best practices Conducting talent... ...non-discrimination in compliance with applicable...RiskFull timePart timeLocal area- ...Commercial Real Estate that is a leading provider of capital for... ...maintaining disciplined risk management practices. The role also functions... ..., and underwriting oversight to junior analysts while supporting... ...in required portfolio and compliance testing Underwriting...RiskTemporary workWork experience placementWork at officeLocal area3 days per week
$94.4k - $293.8k
...Manager / Senior Manager, you'll lead cross functional teams to... ...alignment across Claims, Legal, Compliance, SIU, IT, and Finance.... ...ability to translate concepts into practical use cases. Strong... ...across business, technology, and risk/compliance functions. How...RiskLive inWork at officeLocal area$140k - $185k
...CRCL) is one of the world’s leading internet financial platform companies... ...As a Lead Analyst, Product Compliance supporting Circle’s Payments... ...product lifecycle by leading risk assessments, defining and... ...payment products operate in practice Ability to work cross-functionally...RiskFlexible hours- ...paced and rapidly growing trading environment. Job... ...procedure documentation Oversight for all financial... ...business unit to support compliance activities associated... ...Thorough knowledge and practice of working with GAAP and... ...reporting processes, risks and controls...Risk
$270k - $350k
...thought leader for the firm on the practical utilization of derivatives... ...senior management on hedge trading strategy and tactics. In... ...strategies that further optimize risk & cost trade-offs. Supervise... ...with high level project oversight/ownership and wide scope of collaboration...RiskRemote jobTemporary workWork at officeFlexible hours- ...& Market Expansion Build and lead a specialized Small Business... ...adoption of consultative sales practices, integrated relationship... ...maximize growth and profitability. Risk Management & Governance... ...enabling responsible growth. Ensure compliance with all regulatory, credit,...RiskFull timePart time
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Trading Compliance Lead - Practices & Risk Oversight. Be the first to apply!
- antepartum high risk ob nurse Charlotte, NC
- risk Charlotte, NC
- risk underwriter Charlotte, NC
- technology risk Charlotte, NC
- at risk youth Charlotte, NC
- geopolitical risk Charlotte, NC
- risk assurance Charlotte, NC
- compliance technician Charlotte, NC
- regulatory compliance specialist Charlotte, NC
- compliance examiner Charlotte, NC


