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Lead Compliance Officer

  • Location: Charlotte, 28202-1675
  • Salary: 70.32
  • Job Type:Contract

Posted 19 days ago

Work with the brightest minds at one of the largest financial institutions in the world. This is long-term contract opportunity that includes a competitive benefit package!

Our client has been around for over 150 years and is continuously innovating in today's digital age. If you want to work for a company that is not only a household name, but also truly cares about satisfying customers' financial needs and helping people succeed financially, apply today.

Position: Lead Compliance Officer
Location: CHARLOTTE, North Carolina, 28202-1675
Term: 6 months

Day-to-Day Responsibilities:

  • Support the initiative to develop, implement and maintain an Enterprise Compliance Operations (“ECO”) governance process for the identification, development and implementation of risk indicator metrics covering all eight ECO teams.
  • Build out reporting based on those metrics for use by ECO and broader CCO management and business leaders as appropriate, incorporating legal entity and regional reporting.
  • Implement a data gathering and reporting process across the ECO teams to efficiently help produce metrics. This work is tied to a high rated self-identified SHRP issue.
  • Develop and manage the ECO’s existing reporting obligations including identifying, drafting and editing submissions for existing reports (Compliance bi-weekly, Compliance Management Report), CIB Risk Profile Report, CIB FINRA Annual Report) and develop net new ECO dashboards/reports focusing on key metrics, risks and controls for distribution to front line and second line key stakeholders.
  • 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 with federal, state, agency, legal and regulatory and Corporate Policy requirements.
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
  • Develop, oversee, and provide independent credible challenge to standards with subject matter expertise.
  • Provide direction to the business on developing corrective action plans and effectively managing regulatory change.
  • Report findings and make recommendations to management and appropriate committees.
  • Identify and recommend opportunities for process improvement and risk control development.
  • Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements.
  • Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management.
  • Oversee the Front Line's execution and challenges appropriately on compliance related decisions.
  • Make decisions and resolve issues to meet business objectives.
  • Interpret policies, procedures, and compliance requirements.
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.
  • Work with complex business units, rules and regulations on moderate to high risk compliance matters.
  • Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics.


Is this a good fit? (Requirements):

  • 5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.