Compliance Manager Jobs in Charlotte, NC
A Compliance Manager in the finance industry is primarily responsible for ensuring that the organization is in compliance with all internal and external rules, regulations, and standards. This includes establishing and maintaining systems for compliance, educating and training employees on compliance related matters, monitoring compliance systems, and advising management on possible risks. They also conduct regular audits and assessments to verify the effectiveness of the company's compliance controls and policies.
The role requires a strong understanding of financial legislation and regulatory standards, excellent communication skills, and a keen eye for detail. Relevant certifications such as Certified Regulatory Compliance Manager (CRCM), Certification in Control Self-Assessment (CCSA), or Certified Anti-Money Laundering Specialist (CAMS) are highly beneficial. Before becoming a Compliance Manager, one might have roles such as Compliance Analyst, Risk Management Officer, or Legal Counsel in the finance industry.
We are a longstanding leader in financial planning and advice, a global asset manager and an insurer....
Work Location: Mount Laurel, New Jersey, United States of America Hours: 40 Pay Details: $86,840 - $139,360 USD TD is committed to providing fair and equitable compensation opportunities to all...
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
Director - Compliance (Regulatory Change Management)
- Charlotte, NC
- 6 days ago
- Charlotte, NC
- 6 days ago
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
Senior Employee Experience Manager (Compliance Governance & Operations Manager)
- Charlotte, NC
- 8 days ago
- Charlotte, NC
- 8 days ago
Work Location: New York, New York, United States of America Hours: 40 Pay Details: $110,760 - $178,880 USD TD is committed to providing fair and equitable compensation opportunities to all...
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance....
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
At American Express, our culture is built on a 175-year history of innovation, shared values and Leadership Behaviors, and an unwavering commitment to back our customers, communities, and...
Director-Compliance, U.S. Independent Compliance Testing
- Charlotte, NC
- 12 days ago
- Charlotte, NC
- 12 days ago
**Preferred Qualifications** + Relevant audit and compliance professional certifications are preferred (Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), Certified Fraud...
Director, Compliance Officer u2013 Crypto & Digital Assets
- Charlotte, NC
- 15 days ago
- Charlotte, NC
- 15 days ago
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance....
The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to...
Employee Applicant Privacy Notice Who we are: Shape a brighter financial future with us. Together with our members, we're changing the way people think about and interact with personal finance....
The role: The Compliance Manager - Communications with the Public will lead a team of five Compliance professionals and will focus on marketing and advertising compliance across SoFi's diverse product...
Manager (CRCM) or a relevant certification 6 + years of experience in auditing one of the following areas: consumer compliance, banking or financial services industry, risk management. 6+ years of...
Asana Partners is a retail real estate investment firm creating value in vibrant neighborhoods by leveraging vertically integrated capabilities and retail expertise. With more than $7 billion of...
Demographic Data for Charlotte, NC
Moving to Charlotte, NC? Find some basic demographic data about Charlotte, NC below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in Charlotte, NC
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in Charlotte, NC offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Certified Internal Auditor
- Know Your Customer
- Equity Research
- Tax Accounting
- Equities
- Derivatives
- Internal Control
- Generally Accepted Accounting Principles
- Management Reporting
- BSA
- Fixed Income
- Capital Markets
- Securities and Exchange Commission
- Lending
- Financial Services
- Sarbanes-Oxley Compliance
- International Business
- Anti-Money Laundering
- Grant Management
- Business Processes
- Fraud Investigation
- Due Diligence
- Executive Management
- Resolution
- Finance
- Liaison
- Reimbursement
- Change Management
- Data Analytics
- Risk Management
- Strategy Development
- Accounting
- Decision Making
- Implementation
- Auditing
- Policy Administration
- Written Communication
- Documentation
- Mentoring
- Verbal Communication
- Coaching
- Investigation
- Reporting
- Collaboration
- Flexibility
- Interpersonal Skills
- Bachelor's Degree
- Microsoft PowerPoint
- Policy Development
- Project Management
- Regulations
- Problem Solving
- Microsoft Excel
- Research Skills
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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