Chief Compliance Officer Jobs in Charlotte

Post-Doctoral Legal Fellow Fellow will evaluate incoming information in the form of interview data and observations, written literature documentation, and oral communications, and will use this information to make judgments about ..

Assistant University Attorney The candidate will be responsible for addressing the university’s legal needs, including contracts, policies and procedures, employment relations with faculty, EHRA and SHRA employees, litigation coordination, etc. Assists ..

... primary owner of company’s sanctions compliance program. Providing critical advice and ... including senior company leaders (e.g., Chief Compliance Officer, Business Presidents, Salespeople), on sanctions ... BIS, DOJ, and..

Senior Compliance Officer The candidate will conduct and ... candidate will conduct and direct compliance risk oversight of assigned business ... and/or functions. Lead and execute compliance risk management activities..

Deputy Chief Compliance Officer – Retail RIA The candidate ... developing and maintaining a robust compliance program, with a focus on ... program, with a focus on compliance with all..

THE POSITION The primary purpose of this position is track legislative and regulatory change and work with the legal and compliance teams on advising the team of applicable legislative and regulatory ..

Compliance Officer - Securities Industry The candidate ... as support (CCO Support) to Chief Compliance Officers (CCOs) for multiple series ... (Trusts). Will assist in the compliance oversight of service..

... constraints. Working with the firm’s Chief Operating Officer and Chief Administrative Officer on administrative support functions and ... issues. Managing attorney and paralegal compliance with the firm’s practices and..

... controlled. Follows written risk and compliance policies, standards, and procedures for ... the position (e.g. Certified Regulatory Compliance Manager (CRCM), Juris Doctor, MBA, ... to ERC (Enterprise, Risk, and..

... with the Head of IT Compliance to integrate information security requirements ... with the Head of IT Compliance to ensure that processes and ... and procedures are performed in..

Senior Manager CRM & e-Comms The candidate will work across functions, across teams and across the firm to understand Marketing and Business Development (MBD) requirements for the business and to identify ..

... and legal support related to compliance with the myriad of global, ... plans. Support the GC and Chief People Officer as required with respect to ... and requests related..

Lead Counsel - Wealth and Investment Management Investment Solutions The candidate will serve as senor lawyer advising the business on a complex offering of investment advisory wrap fee programs to retail ..