Deputy Chief Compliance Officer – Retail Broker-Dealer in Charlotte, North Carolina
Posted 12/02/22

THE TEAM YOU WILL BE JOINING:
    • Fortune 500 financial services firm headquartered in Charlotte, NC with a significant investment in innovation
    • Recognized by Fortune as one of the world’s most admired companies in 2012 along with many other awards around social responsibility, diversity, equity and inclusion and client experience.
    • Purpose driven and team-oriented environment with focuses on leveraging employee talents, cutting edge technology, and best practices and processes
    • Organization that is recognized for being truly multicultural; diversity and feedback rich is in their DNA
WHAT THEY OFFER YOU:
    • Highly visible opportunity as it supports organization tax policy
    • Results driven organization that values accountability and continuous improvement
    • Opportunity to make an impact and add value - Forthcoming investment in tools and technology to improve current processes
    • Excellent Company Benefits to include medical, dental, 401k and generous PTO policy
WHY THIS ROLE IS IMPORTANT:
    • Developing and maintaining a robust compliance program, with a focus on compliance with all laws, regulations, and other guidance related to assigned business and operational activities.
    • Scope of coverage may include one or more large business units or compliance functions and management of other managers.
    • Identifying and mitigating compliance risks proactively and maintaining a strong regulatory relationship with all applicable regulators
    • Developing sufficient internal controls to promote an effective compliance control environment
    • Performing periodic risk assessments of business and operational activities to identify compliance gaps and potential exposure
    • Partnering with business units to remediate compliance findings identified in internal and external examinations and audits
    • Providing strategic leadership to design and implement compliance standards and procedures to mitigate compliance risks and improper conduct, ensuring these standards are institutional throughout the business units, and monitoring compliance with such standards
    • Provide reports and summaries of compliance risks for aggregation up to Risk Committees
    • Keep pace of demands of business by anticipating problems, offering appropriate solutions and providing the necessary leadership to implement changes effectively
THE BACKGROUND THAT FITS:
    • Bachelor’s degree in Business, Economics, Finance, or Accounting, or an equivalent combination of education and work experience
    • Fifteen years of financial industry experience, including extensive compliance/risk management and leadership/managerial experience
    • Substantial broad-based knowledge and experience in applying laws and regulations, designing, managing and overseeing compliance programs and processes and handling regulatory matters
    • Excellent communication and interpersonal skills, as job will require extensive interaction with various business units among multiple disciplines including Senior and Executive Management
    • Ability to communicate and work with various regulatory agencies
    • Attention to detail, accuracy and the ability to manage multiple tasks and deadlines
    • Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
    • Strong analytical, organizational and time management skills
    • Ability to conceptualize and assist in building technology into compliance processes in order to gain efficiency and enhance the strength of the Compliance Management System
    • Solid understanding of risk management processes and risk analysis
    • Advanced knowledge of broad-based compliance regulations
Preferred Qualifications:
    • MBA, Juris Doctorate or other advanced degree
    • Fifteen years of compliance,  legal or management experience at large financial institution
    • Series 7, 24, 65, 4, 53 and Insurance Licenses
    • Knowledge of Wealth business activities



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  • Employee Type: Direct Hire
  • Location: Charlotte, North Carolina
  • Category: Accounting and Finance
  • Date Posted: 12/02/22
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