Compliance Manager Jobs in North Carolina

Job Title: Compliance Manager Company: Bank Of America Location: Charlotte, NC Description: Support GCB Senior Compliance Managers in various ways including drafting procedures, researching, or creating reports/spreadsheets. Will support SCMs in the following ways: Participate in business change initiatives to ensure that compliance risks and assessments are documented in the appropriate system, Assist in uploading and organizing policy and manuals Effectively communicate compliance requirements Assist in the development of training; Perform advertising reviews; Partner with marketing; Support, issues tracking; Support all aspects of the GCB Compliance program.

Job Title: In-house Counsel/Compliance Officer Company: First Citizens Bank Location: Raleigh, NC Description: Serve as in-house counsel for Institutional Advisory Services (IAS).  Assist IAS in keeping abreast of and complying with laws and regulations governing the corporate trust, retirement plan and stock transfer areas.  Maintain a training program for new and current IAS associates.  Provide administrative, risk management and compliance support to the Manager Institutional Advisory Services and oversee all departmental policies, procedures and forms. Position Requirements Basic Qualifications:Post graduate degree (Juris Doctorate) with a minimum of 8 years experience in the retirement planning, corporate trust, SEC/FINRA and taxation areas.Additional Requirements:Series 6, 63 licensesState specific Life and Health insurance licenseComputer proficiency including Microsoft Word, PowerPoint and ExcelResearch skills

Job Title: Operational Risk Manager-Compliance and Incident Management Company: Bank Of America Location: Charlotte, NC Description: Responsible for assisting management within an assigned area (e.g., business unit or function area). In conjunction with other senior management, formulates and implements the operational risk management policies, procedures and standards. Identifies risks to which the firm is exposed, implements measures to prevent, eliminate or mitigate losses, and monitors outcomes/risk levels for all product areas of operation. May direct risk management staff in the development and maintenance of background information and analysis projects. Represents assigned area on all operational risk management matters requiring review by more senior management. Incumbents typically have over eight years of risk management experience. Responsible for assisting management within an assigned area (e.g., business unit or function area). In conjunction with other senior management, formulates and implements the operational risk management policies, procedures and standards. Identifies risks to which the firm is exposed, implements measures to prevent, eliminate or mitigate losses, and monitors outcomes/risk levels for all product areas of operation. May direct risk management staff in the development and maintenance of background information and analysis projects. Represents assigned area on all operational risk management matters requiring review by more senior management. Incumbents typically have over eight years of risk management experience. Coordinate completion, testing and maintenance of LOB Business Recovery Plan. Point of contact for CS&D and CSBC business continuity partners during events; coordinating and monitoring business interruption(s) as they occur. Support development of debit policies and ensure policies are adequately communicated and complied with throughout the business. Ensure corresponding & applicable procedures and LOB risk strategies are well documented. • Objective: Manage business continuity, compliance, audit, and incident response for Debit and eProducts. • Ensure appropriate oversight and monitoring routines/processes are in place to demonstrate adherence to policies and regulatory requirements • Lead or participate in regulatory change activities affecting Debit products/processes • Assist in the completion of Risk and Compliance assessments (ex. LOBSA, Operational Risk Profile) • Identify and remediate privacy, Audit, risk and/or Compliance gaps • Demonstrate Regulatory/compliance adherence • Identify and improve privacy, Audit, risk and/or Compliance gaps • Audit and issue management • Incident planning, management, root cause diagnosis, and response • Author and maintain Debit and eProduct policies and procedures • Strong partnership with Checking & Debit operations • Business continuity management

Job Title: Senior Compliance Manager Company: Bank Of America Location: Charlotte, NC Description: Senior Compliance Manager for GCB supporting credit, treasury and monitoring, processes. Will have primary responsibility to provide compliance support in the following ways: Participate in business change initiatives to ensure that compliance risks are assessed, mitigated, and escalated when appropriate, Work with business to ensure that sales practices are compliant with applicable laws and regulations; Provide guidance to underwriting on policies; Effectively communicate compliance requirements and train associates on relevant compliance topics; Support, resolve, approve and track conflict management; Support all aspects of the GCB Compliance program; Closure of Associate Investment Monitoring exceptions Work closely with business to ensure compliance risk controls are incorporated into processes and develop action plans to address deficiencies; Drive audit issue self reporting and ensure audit action plans are on track. Ensure timely and compliant changes in business practices and legal/regulatory requirements are implemented.

Job Title: AML COMPLIANCE OFFICER Company: First Citizens Bank Location: Raleigh, NC Description: Carry out ongoing monitoring of AML Compliance according to direction provided by the AML Compliance Manager.  Duties include the completion of test work, creation of ad-hoc reporting and working with business units to manage AML compliance requirements.  Position will also include responsibilities for interpreting AML related laws and providing business units counsel on effective control measures related to AML compliance.  AML related project responsibilities would also be a major function of this position. In addition, this position will assist the AML Compliance Manager with carrying out other general and specific compliance risk management duties, as assigned. Position Requirements Basic Qualifications Four-year college degree (BA, BS, BBA) with a minimum of 8 years experience with AML policies and procedures. Additional Requirements Thorough knowledge of banking applications and Microsoft Office softwareThorough knowledge of State and Federal Banking Regulations