Compliance Officer: salario promedio en North Carolina in 2024
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Compliance Officer
The Allspring Global Sales Practice Compliance team is seeking a Compliance Officer who will be responsible for assisting in the review of global marketing communications. Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electr...
Compliance Director and Privacy Officer, Audit & Compliance Services
This position reports to the Chief Audit and Compliance Officer (Chief) and is responsible for providing leadership in support of the University-level compliance program. The Compliance Director and Privacy Officer (Director) is primarily responsible for leading the University Privacy and Conflict o...
CRA Compliance and Exam Management Officer
Completion of the American Bankers Association's Compliance School or Compliance certification. Facilitate the administration of Truist's Community Reinvestment Act ("CRA") compliance and performance framework, including examination preparations. Oversee execution of applicable laws and re...
Lead Compliance Officer
Wells Fargo is seeking a Lead Compliance Officer in Consumer Lending Compliance as part of the Credit Card Compliance Team. Experience developing, implementing, and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or provi...
Compliance Control Group Officer
The compliance officer is responsible for independently monitoring business information barriers and the protection of MNPI across various forms of communication and media. Manage compliance risk management communications, training, documentation, procedures, and processes. Monitor and communicate c...
VP- LPLIA & Insurance Compliance Coverage Officer
Being effective as a compliance officer often involves helping management find new and creative ways to be profitable while maintaining compliance standards that protect the Firm. Compliance Coverage Officers (COs). As part of this responsibility, COs generally are responsible for the oversight of r...
Senior Compliance Officer - Broker/Dealer
Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Responsible for conducting and directing compl...
Senior Compliance Officer
Reporting into the Chief Compliance Officer of Allspring Funds Management, LLC, the Senior Compliance Analyst will primarily support the Compliance program functions of Allspring's retail managed accounts business. The Senior Compliance Analyst will provide oversight and challenge to business compli...
Compliance Officer
Background in regulatory compliance with a strong understanding of compliance frameworks. Please note that candidates must have a Compliance background related to Markets / Trading with the ability to create and write out Supervisory procedures in the space. Previous experience in compliance within ...
Ethics & Compliance Officer, Operations (Onsite)
Are you ready to go beyond?We have an exciting Onsite opportunity for an Ethics & Compliance Officer, Operations at our Asheville, NC site!What You Will Do:As an Ethics & Compliance Officer (ECO), the successful candidate will be responsible for leading the ethics & compliance program for the Operat...
Trade Compliance Officers
A large bank is hiring for Compliance Officers and looking to do interviews immediately! This role could convert to a direct hire role. Background in regulatory compliance with a strong understanding of compliance frameworks. Previous experience in compliance within the markets/trading industry, pre...
Senior Compliance Officer - Broker/Dealer
Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Management Policy and Framework. May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Regular or Temporary:RegularLanguage Fluency: ...
Senior Compliance Officer
May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or ...
Compliance Officer
The Allspring Global Sales Practice Compliance team is seeking a Compliance Officer who will be responsible for assisting in the review of global marketing communications. Support compliance’s review and approval of advisor/broker dealer and international marketing materials and various other electr...
Senior Compliance Officer - Broker/Dealer
May manage other Compliance teammates and serve as mentor to other Compliance Officers and Analysts. Lead or assist in leading compliance initiatives necessary in implementing changes. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or ...
Student Services Officer Compliance Coordinator
The primary function of this position is to serve as the Compliance Coordinator supporting VA and DoD eligibility compliance and benefit processing, and NCAA compliance and student-athlete eligibility processing. Student Services Officer Compliance Coordinator. Monitor the VA education benefit stude...
Cyber Compliance Officer
Track and reports on compliance with cyber regulatory requirements. Lead efforts to prepare and inventory responses for IT security questions from regulators, AIG customers and other business affiliates as appropriate and in close coordination with the Head of Governance, Risk and Compliance. Abilit...
BDO Capital Advisors, President & Chief Compliance Officer
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
Compliance Director and Privacy Officer, Audit & Compliance Services
This position profile identifies the key responsibilities and expectations for performance.It cannot encompass all specific job tasks that an employee may be required to perform.Employees are required to follow any other job-related instructions and perform job-related duties as may be reasonably as...
Lead Compliance Officer
Wells Fargo is seeking a Lead Compliance Officer in Consumer Lending Compliance as part of the Credit Card Compliance Team. Experience developing, implementing, and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or provi...
Lead Compliance Officer
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 ...
Ethics & Compliance Officer, Operations (Onsite)
As an Ethics & Compliance Officer (ECO), the successful candidate will be responsible for leading the ethics & compliance program for the Operations organization at the Asheville, NC site. Support the P&W Global Ethics & Compliance Officer, Deputy ECOs and RTX Compliance in the performance of other ...
Deputy Compliance Officer
The Deputy Compliance Officer role supports the Chief Compliance Officer (CCO) in managing the Compliance function and will be responsible for providing guidance and oversight across the broker dealer’s compliance management program, ensuring that teams are proactively understanding regulatory requi...
Construction Safety Compliance Officer
Safety Compliance Officer (SCO) position requires identifying workplace hazards (and potential hazards); recommending citations for alleged violations and making appropriate referrals; inspecting a variety of establishments; performing safety and health hazard assessments; evaluating employer's effo...