Compliance Officer Jobs in North Carolina

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440 North Carolina Compliance Officer jobs found on Monster.

Jobs 1 to 20 of 440
RIA Chief Compliance Officer Seeking an individual with compliance experience at the SEC level. The Chief Compliance Officer will be responsible for overseeing the regulatory initiatives of the firm, managing compliance risk, developing infrastructure, and providing support to senior management. This position will be responsible for an SEC Registered Investment Advisor. The ideal candidate will ...
Government Programs and Compliance will serve as a leader and role model for ethical behavior while dealing with Federal and State governmental agencies, ensuring compliance with laws, rules, regulations and policies that govern the company’s business. •Designs and implements programs, policies and practices to ensure that all departments are in compliance with JCAHO, HIPAA, and accreditation st...
About WakeMed WakeMed Health & Hospitals , located in Raleigh, North Carolina is an 870+ bed private, not-for-profit network of medical centers, ambulatory care centers and outpatient facilities, representing the largest health system in greater Raleigh, North Carolina. Our system includes over 7,600 nurses, technologists, medical support staff, and more than 1,000 affiliated physicians who repre...
Director of Compliance - Healthcare HR & Risk Management Strategic Behavioral Center – Charlotte is a 60 bed residential treatment facility for adolescent male and females twelve through seventeen serving youth and their families in crisis. With its anticipated growth, SBC-Charlotteis seeking a champion to lead the both the Risk Management and HR functions for this psychiatric healthcare facility...
Line of Business: Investments Group Job Category: Professionals Desired Skills: 1. Series 4 - FINRA Options Principal Minimum Qualifications: 1. Four-year college degree in business related major or equivalent work-related experience. 2. Five years experience in the securities industry 3. Working knowledge of computers 4. Ability to travel as required 5. Advanced securities and insurance ...
The Grants Compliance Off1cer/Program Coordinator will proactively support grantees in establishing best practices to ensure timely and accurate reporting to the U.S. Department of Education (U.S. DOE). DUTIES AND RESPONSIBILITIES: Staff member serves as financial management consultant and authoritative expert to grantees regarding tracking, monitoring, and use of grant funds; internal control s...
The Title IX Compliance Officer directs an institutional comprehensive compliance program by assessing institutional Title IX compliance, developing initiatives, delivering education and training offerings, and coordinating awareness of gender equity and sex discrimination across the university. The Officer reports to the Associate Provost for Equity and Diversity in the Office for Equity and Dive...
Essential Duties and Responsibilities: Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time. 1. Under the general supervision of the Senior Compliance Risk Manager participate in audits/regulatory examinations from FINRA, SEC, FDIC, and Audit Services. ...
TIAA-CREF Charlotte, NC
Job Description For more information about TIAA-CREF, visit our website. This position will serve as the Chief Compliance Officer for TIAA-CREF Tuition Financing, Inc. (TFI) which provides registered investment advisory and plan management services to 11 state-sponsored 529 plans. The candidate for the position will also provide compliance coverage for mutual fund distribution activities of TIAA...
Branch, Banking and Trust Company Charlotte, NC
28707BR INV Trade Review Compliance Officer Investments Group Charlotte, NC - 200 South College Street English Full time Regular 1st shift 40 Ensure that the department is in compliance with all rules and regulations issued by our governing regulatory agencies. Review and approve new accounts, evaluate suitability, and respond to IC phone questions. Line of Business: Investments Group J...
Branch, Banking and Trust Company Charlotte, NC
29643BR Compliance Senior Risk Officer - Securities Compliance Group Charlotte, NC - 200 South College Street English Full time Regular 1st shift 40 Assist with the management of the Firm's BB&T Investment Services (BBTIS) full service compliance program. Assist the Compliance Risk Manager to ensure that registered representatives in all associated lines of business (LOB) are in complianc...
TIAA-CREF Charlotte, NC
Job Description For more information about TIAA-CREF, visit our website. Compliance Officer, Broker/Dealer Compliance Field Consulting Group and Insurance Distribution As an individual contributor, assist in overseeing the Field Consulting Group (FCG) and the insurance distribution compliance program of the TIAA-CREF broker-dealers, as well as assessing the impact of securities and insurance r...
TIAA-CREF Charlotte, NC
Job Description For more information about TIAA-CREF, visit our website. Develop and advise on compliance policies and procedures relating to new bank lending products. Advise on and assist with reviews of marketing materials for bank lending products. Review and monitor compliance training related to the bank's lending activities. Assist in expanding and executing the bank's risk-based compl...
TIAA-CREF Charlotte, NC
Job Description For more information about TIAA-CREF, visit our website. The primary responsibility of the Enterprise Financial Crime Platform: Anti-Money Laundering Compliance Officer - FIU is to provide quality control oversight and guidance to a team of FIU Analysts responsible for investigating, researching and analyzing financial transactions and customer behavior across products and servic...
Description: The Compliance Officer establishes and implements an effective compliance program to prevent illegal, unethical or improper conduct. The Compliance Officer acts as staff to the CEO and Governing Board by monitoring and reporting results of the compliance and ethics efforts of the company and in providing guidance for the Board and senior management team on matters relating to reportin...
Assist with advisory coverage of various AM business units Provide back-up to senior compliance advisory coverage officer overseeing other business units Routinely assess and ensure proper registrations of employees Assist with trade surveillance monitoring and testing, including the monitoring of futures to ensure CS is not in violation of exchange limits Assist with the development and imple...
WakeMed Health & Hospitals , located in Raleigh, North Carolina is an 870+ bed private, not-for-profit network of medical centers, ambulatory care centers and outpatient facilities, representing the largest health system in greater Raleigh, North Carolina. Our system includes over 7,600 nurses, technologists, medical support staff, and more than 1,000 affiliated physicians who represent the best m...
The University of North Carolina Greenville, NC, 27833
The Title IX Compliance Officer directs an institutional comprehensive compliance program by assessing institutional Title IX compliance, developing initiatives, delivering education and training offerings, and coordinating awareness of gender equity and sex discrimination across the university. The Officer reports to the Associate Provost for Equity and Diversity in the Office for Equity and Dive...
For more information about TIAA-CREF, visit our website . Develop and advise on compliance policies and procedures relating to new bank lending products. Advise on and assist with reviews of marketing materials for bank lending products. Review and monitor compliance training related to the bank's lending activities. Assist in expanding and executing the bank's risk-based compliance testing a...
Work closely with U.S. and Swiss colleagues in developing, administering and testing a U.S. Securities laws compliance program for Swiss private banking business and its branches Work with action plan owners to track and resolve identified compliance issues Provide day to day compliance advisory coverage support Assess and ensure proper registrations for employees when engaging with U.S. Person...

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Business Career Tools

Compliance Coordinator

Salaries

$31,200.00 - $97,200.00
Typical Salary for Compliance Coordinator in North Carolina
(108 Respondents)
Source: Monster.com Careerbenchmarking Tool

Education / Training

Bachelor's
45.9%
Master's
21.6%
Some College Coursework Completed
14.9%
High School
6.8%
Associates
5.4%
Professional
2.7%
(74 Respondents)
Source: Monster.com Careerbenchmarking Tool

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