Compliance Officer Jobs in North Carolina

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430 North Carolina Compliance Officer jobs found on Monster.

Jobs 1 to 20 of 430
Searchamericanjobs Charlotte, NC
**Description:** *For more information about TIAA-CREF,visit our website.* The Director, Compliance Officer, Privacy Officer will report to the Sr. Compliance Officer Corporate Compliance, Chief Privacy Officer. * * *Position Objective:*To verify that company practices, policies, processes, and procedures are performed in accordance with applicable privacy, data protection and compliance laws....
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...
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...
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...
Marten Transport Charlotte, NC
**Description:** For more information about TIAA-CREF,visit our website.Director, Broker/Dealer ComplianceTeachers Personal Investors Services, Inc. (TPIS)/Mutual Fund DistributionAs a manager, the Director/Chief Compliance Officer will be responsible for managing the compliance program of the Teachers Personal Investors Services, Inc., an institutional broker/dealer. This role will also provide c...
Searchamericanjobs Charlotte, NC
**Description:** For more information about TIAA-CREF,visit our website. Director, Broker/Dealer Compliance Teachers Personal Investors Services, Inc. (TPIS)/ Mutual Fund Distribution As a manager, the Director/Chief Compliance Officer will be responsible for managing the compliance program of the Teachers Personal Investors Services, Inc., an institutional broker/dealer. This role will also ...
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 services for possi...
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...
Essential Duties and Responsibilities: 1. Be an active member of and occasionally lead a compliance testing team in reviews that may cover a wide variety of compliance requirements such as: Bank Secrecy Act/Anti-Money Laundering (BSA/AML), privacy, deposits, lending. 2. Take an active role in scoping, report writing, vetting of findings and work paper review of compliance tests. Produce report c...
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. ...
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 ...
TIAA-CREF Charlotte, NC
Job Description For more information about TIAA-CREF, visit our website. Compliance Officer -Financial Crimes Governance This position is for a Financial Crimes (FC) Governance Officer. The FC Governance Officer will be the primary liaison with the lines of business (Trust/FSB, Individual, Institutional, TC Life, Asset Management) to provide governance, training, testing and advisory services i...

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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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