- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a ** Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... line oversight + Develop, oversee, and provide expert business and regulatory compliance functional knowledge. + Develop and present Oversight program materials to… more
- Wells Fargo (Charlotte, NC)
- …empowered to grow. Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our ... FICC Trade Surveillance + Manage key relationships with Business Heads, Desk Heads, Compliance , COO and CIB Control for Rates + Represent Trade Surveillance on… more
- Truist (Charlotte, NC)
- …and spirit of applicable corporate policies, procedures, processes, standards and regulatory/ compliance requirements. + Takes a new perspective on existing solutions ... to senior leadership summarizing issues and communicating solutions. + Lead assigned LOBs through annual planning process, including rationalizing corporate… more
- Citizens (Charlotte, NC)
- …a senior-level role within the Compliance Department, reporting to the Chief Compliance Officer . This individual will be the firmwide subject matter expert ... execution across Investment Banking, Mergers & Acquisitions, Equity and Fixed Income Sales & Trading, Research, Corporate Access, and...Maintenance of Form BD in collaboration with the Chief Compliance Officer + Exam window management and… more