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Compliance manager jobs in Charlotte, NC

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SVP, Head of Trading, Operations, Registration and FINOP Compliance

LPL Financial LLC

senior Vice President compliance Jobs in Fort Mill, SC SVP, Head of Trading, Operations, Registration and FINOP Compliance 3.2 LPL Financial ? Fort Mill, SC
Fort Mill, York County, SC
3 days ago
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Senior Director of Corporate Compliance

Hospice & Palliative Care Charlotte Region

 ...Job Category Executive Description The Sr. Director Compliance oversees the Corporate Compliance Program that reviews and evaluates...  .... The position ensures the CEO and Board of Directors, senior management and employees are in compliance with the rules and regulations... 
Charlotte, NC
4 days ago
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Compliance and Operational Risk Specialist

GHR

 ...Job Description: Job Description The Compliance and Operational Risk Specialist assists the Compliance and Operational Risk officer...  ...“the Policies”) and the Compliance and Operational Risk Management (“CORM”) Program and Standard Operating Procedures (SOPs)). As... 
Charlotte, NC
8 days ago

Compliance Officer EMEA - TSR

Continental AG

 ...currently employs around 244,000 people in 61 countries and markets. Compliance Officer EMEA - TSR Description • Supports the concurrent...  ...• Provides training in core compliance areas to the management • Gives advice on the consequences of changes in the legal... 
Rock Hill, SC
8 days ago

IT Compliance Sr. Analyst

Albemarle Corporation

 ...Job Description SUMMARY The Information Technology (IT) Compliance Analyst plays a pivotal role in ensuring IT's compliance with...  ...by collaborating with internal and external audit teams, IT management, finance and accounting personnel, consultants, and other stakeholders... 
Charlotte, NC
8 days ago
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Telecommute Senior Forensic Accounting Contract Compliance Auditor

Confidential

A compliance and processing software developer needs applicants for an opening for a Telecommute Senior Forensic Accounting Contract Compliance Auditor.Must be able to: Perform an in depth review and document auditable clauses from the contract between client and supplierAssist... 
Charlotte, NC
3 days ago
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Compliance Consultant 3 - WIM Financial Crimes Testing and Validation

Wells Fargo Bank

 ...Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct...  ...rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides... 
Davidson, NC
23 hours ago
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Compliance Consultant 5: Banking Operations Electronic & Commercial Services

Wells Fargo Bank

 ...Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct...  ...rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides... 
Fort Mill, York County, SC
2 days ago
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Compliance Consultant 5 - Investment Advisor / Investment Company Compliance Program Documentation

$132.7k - $189.6k

Wells Fargo Bank

 ...Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct...  ...rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides... 
Mc Adenville, NC
23 hours ago

Administrative Assistant 4 - Compliance Strategy and Operations Team

Wells Fargo

 ...Corporate Risk helps all Wells Fargo businesses identify and manage risk. The team focuses on several key risk types, including conduct...  ...rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides... 
Charlotte, NC
23 days ago

Tax Services Compliance Manager - National Tax -Unclaimed Property & Escheat Services, Charlotte

Ernst & Young

 ...contribute your technical expertise and experience related to annual compliance, technology transformation, and consulting for abandoned and...  ...You’ll likely spend much of your time engaging managing execution and delivery of unclaimed property compliance engagements... 
Charlotte, NC
11 days ago

Compliance Doc Imprv Spec/ST - Atrium Health

Carolinas HealthCare System

Not Applicable Atrium Health is an EOE/AA Employer Nearest Major Market: Charlotte Job Segment: Medical, Compliance, Nursing, Registered Nurse, Medicare, Healthcare, Legal
Charlotte, NC
19 days ago

Compliance Consultant 4 - Small business lending/collections

First Citizens Bank & Trust Company

Position Description: The Retail Underwriter is responsible for underwriting and evaluating moderate to complex retail credit loan applications originated by the branches, according to Bank policies and procedures. The majority of the applications evaluated are unsecured...
Charlotte, NC
20 days ago
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Compliance Consultant 5 - Commercial Banking Compliance

Wells Fargo

 ...Corporate Risk helps all Wells Fargo identify businesses and manage risk. The team focuses on several key risk types, including conduct...  ...rate, liquidity, market, model, operational, regulatory compliance, reputation, strategic, and technology risk. The group provides... 
Charlotte, NC
2 days ago
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SALT Compliance Senior Associate

BDO Consulting

 ...applying knowledge to understand potential tax issues, evaluate and select alternative actions to lessen tax burden and cost of compliance, recognize and communicate potential risks, identify potential changes in the tax policy and apply new policies to tax compliance... 
Charlotte, NC
3 days ago
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Risk Assessment Strategy Compliance Consultant

Wells Fargo

 ...Corporate Risk helps all Wells Fargo businesses identify and manage risk. We focus on three key risk areas: credit risk, operational...  ...activities exceed the risk tolerance of the company. Wells Fargo Compliance is the company's compliance independent risk management... 
Charlotte, NC
6 days ago
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Sanctions Compliance Quality Assurance Associate, Assistant Vice President

MUFG

 ...persons alerting against Sanction/ Terrorist and Politically Exposed Person watch lists You have 2 plus years' Quality Assurance, Compliance Testing, or Internal Audit experience at a financial services organization You possess knowledge of QA/ Audit concepts,... 
Charlotte, NC
2 days ago
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Financial Controls & Oversight Senior Consultant - Compliance & Quality Assurance Team

Wells Fargo

 ...It all begins with you. Enterprise Finance drives financial management for the company and maintains and enhances risk and financial...  ...Oversight group is seeking a highly motivated individual to join our Compliance & Quality Assurance (CQA) team to lead and contribute to the... 
Charlotte, NC
2 days ago
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Compliance Consultant 5 - Business Unit Compliance Officer Middle Market Sales

Wells Fargo Bank

 ...support our businesses. This role is for a Senior Business Unit Compliance Officer , regulatory compliance subject matter expert,...  ...with business to develop corrective action plans and effectively manages change to ensure regulatory compliance. Reports findings... 
Stanfield, NC
23 hours ago

EAC Compliance and Operational Risk Specialist

Bank of America

 ...selling databases. • Close liaison with the Line of Business and Compliance officers to confirm positions and any other issues arising...  ...operational losses. • Assist in executing governance and management routines. • Assist in the identification of regulatory training... 
Charlotte, NC
18 days ago

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