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Lead Compliance Officer

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

Posted 15 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.

Candidates will be responsible for following the client's COVID-19 protocols. Please refer to your MATRIX representative for specifics.

About Us

At MATRIX, we expertly match talented professionals with job opportunities to elevate careers. Since 1983, we have placed thousands of professionals at innovative clients across every industry ranging from small startups to Fortune 50 companies. It’s why we’re consistently in the top 25 of all U.S. IT staffing firms and why our consultants rate us well above the industry average, earning us ClearlyRated's Best of Staffing awards year after year. People come to us for a job, and stay with us because of our top-notch consultant care.

MATRIX is and Equal Employment Opportunity employer including disability and veteran and provides reasonable accommodations for all qualified individuals.  Supporting medical or religious documentation will be required where applicable. If you are a qualified individual you may request a reasonable accommodation under the American Disability Act (ADA). If you are a person with a disability needing assistance applying, or at any point in the hiring process, please email us at MATRIX_HR@MatrixRes.com. To ensure a quick response to your request, please use the words “Accommodation request” as the subject line of your email.

For hourly W2 contract roles MATRIX offers a highly competitive benefit package including Medical, Dental, Vision, Life, Disability, HSA, and 401(k) with pre and post-tax options.  Please see MatrixRes.com/Benefits for more information.

For direct hire placement with our clients, benefits would be offered in accordance with that particular client’s offerings. This may include PTO, Medical, Dental, Vision, 401K and other pre and post-tax options.