Compliance Officer Jobs in Charlotte, NC

Apex Systems - Charlotte, NC, United States

Role : Compliance Officer Duration : 9mo+ Location : Hybrid (3x a wk onsite) in Charlotte, NC or NY, NY Client : Large bank Summary : This is for the Market Conduct Program - they are in charge

from: linkedin.com - 5 days ago

Apex Systems - Charlotte, NC, United States

Industry: Banking Position: Compliance Officer Duration: 9 Month Contract w/ possible conversion Location: Charlotte, NC - 3x/week on-site Details: W2, Benefits, 401k Options Top Requirements

from: linkedin.com - 6 days ago

Citi Private Bank - Charlotte, North Carolina, USA

and managing relationships with senior Compliance management, including a number of Chief Compliance Officers, 1st line leaders together with other Chief Auditors across IA. In addition, the role will work

from: Ivyexec.com - 3 days ago

Apex Systems - Charlotte, NC, United States

updated on market regulations and compliance standards. Assist in building out the surveillance officer model and implementing effective monitoring strategies. Review transaction records and conduct audits

from: linkedin.com - 6 days ago

Larson Maddox - Charlotte, NC, United States

regulations, and upholding Code of Ethics. Reporting directly to the Chief Compliance Officer, you'll play a key role in supporting the compliance efforts of the firm. Key Duties & Responsibilities Assisting

from: linkedin.com - 7 days ago

Internal Revenue Service - Charlotte, North Carolina

In addition to meeting the basic requirement above, to qualify for this position you must also meet the qualification requirements...

from: Usajobs.gov - More than 30 days ago

Garden City Equity - Charlotte, NC, United States

compliance program (policies & procedures, trainings) Serve as chief compliance officer for the firm Lead and submit key regulatory filings Lead SEC audits Review all marketing materials Manage relationship

from: linkedin.com - 10 days ago

White Oak Commercial Finance - Charlotte, NC, United States

, modifications, facility extensions and consents. · Maintain financial spreads, projections, and models. · Monitor, calculate and confirm Borrower covenant compliance. · Review and negotiate legal documentation

from: linkedin.com - 10 days ago

Internal Revenue Service - Charlotte, North Carolina

Specialized experience for this position includes: Experience that demonstrated a substantive knowledge of business practices, basic...

from: Usajobs.gov - 30 days ago

Internal Revenue Service - Charlotte, North Carolina

Specialized experience for this position includes: Experience that demonstrated a substantive knowledge of business practices, basic... 39576.0-97034.0

from: Usajobs.gov - More than 30 days ago