Compliance Manager Jobs in North Carolina

Job Title: Senior Manager - Compliance Oversight - Company: Confidential Company Location: Greensboro, NC Description: Senior Manager - Compliance Oversight - Compliance Reviews This position is part of a centralized Enterprise Compliance Risk Management ("ECRM") team responsible for administering compliance risk management across American Express. This position will play a key role in administering the Compliance Review Program governing banking and credit card operations supporting U.S. Banking. This position is will be responsible for coordination, oversight and administration of the Compliance Review Program for American Express US banking and credit card operations. Responsible for preparing the annual Compliance Review Program based on risk assessments. Manage the ongoing maintenance and development of the Compliance Review Program policies and procedures. Establish & maintain meaningful Compliance Review Program performance metrics and reporting. Responsible for all reporting related to the Compliance Review Program. Responsible for follow-up and escalation of corrective action plans identified through the Compliance Review Program. Drive resolution of issues and manage change controls in the Compliance Review Program and process. Effectively utilize and promote disciplined project methodologies to facilitate the design, implementation and control infrastructure for the Compliance Review Program related projects. The position will interface regularly with management, business partners, examiners/auditors, third-party vendors and with the general counsel's office. Act as point of contact on the Compliance Review Program with Internal Audit and examiners, as needed. Perform special projects, compile data and prepare reports for Senior Management and other personnel. Maintain necessary records and files to assure efficient and consistent reporting of compliance efforts.The qualified individual will have: 7 to 10 years experience in internal and external audit, internal control, compliance or related work experience. In-depth knowledge of the laws, rules and regulations governing US banking and credit card operations. Functional knowledge of credit card operations and processes. Strong analytical skills and ability to identify potential compliance issues, potential root causes, and feasible operational solutions. Strong collaborative skills and experience leading and working in a matrix environment and on cross-functional teams. Excellent verbal and written communications skills, including the ability to persuade and influence a broad spectrum of constituents at all levels. Strong people leadership and management skills. Detailed understanding of internal control frameworks and independent testing and monitoring activities. Experience with reporting, policies & procedures and issue resolution. 4 year college degree of equivalent work experience with an emphasis on the area of business, management, finance, regulatory compliance or audit. Proven ability to drive teams toward high productivity and sustained performance. Must be able to effectively communicate with all levels of the organization and its business partners, including the ability to translate technical information into easily understandable terms. Successfully candidates must also: Posses strong interpersonal, leadership and change management skills, as well as strong presentation and communication skills (written and verbal) Be self-motivated, dependable, adaptable and detail oriented with a proven ability to work independently or within a team environment as required. Have a demonstrated ability to think conceptually, using strong analytical skills. Posses a strong understanding of bank systems and processes; strong computer knowledge; excellent MS Word, Excel, Visio and PowerPoint skills. Knowledge of American express Compliance Review Program is a plus. CRCM designation desired, but not required.THE POSITION CAN SIT IN SLC, NY, GREENSBORO, FL, OR PHX. THIS POSITION IS BEING REPOSTED.

Job Title: Issues Analyst - Compliance Manager - Consumer Compliance Company: Bank Of America Location: Charlotte, NC Description: General Job Description: Implements and monitors compliance programs for one or more departments of functions within a business group. Applies knowledge and expertise to influence business managers and peers to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Corporate Compliance's missions, goals and strategies. Communicates and interacts with regulatory agencies, external consultants, and other internal risk management groups within area of responsibility. May manage other associates. Specific Job Description: The Issue Analyst will assist the Issue Management Executive in building the Regulatory Issue Management process across Consumer Compliance LOBs and Channels/Segments. In this role, the Issue Analyst will assist with planning, quality control, management oversight, tracking and reporting for all consumer regulatory agency issues. Specifically, the Issue Analyst will: Work within the Enterprise Compliance Regulatory Issue Management framework Develop or support management routines to confirm and address the understanding of the regulatory issue(s), action plans, any movement of resolution or milestone dates, and validation required with the LOB, executive risk leaders and Corporate Audit; Manage the centralized coordination of routines/tollgates for every action plan milestone completion date or change control Review issue status updates that will come from LOB Compliance issue coordinators to ensure they meet the enterprise compliance standards Accountable for leadership reporting routines and reporting requirements for management routine deliverables from Enterprise Compliance team Partner with Compliance Testing/Validation team to ensure their updates feed into centralized reporting Provide or assist with the end to end issue management oversight and reporting. Will report to Issue Management Executive for Consumer Compliance The Issue Analyst will have to communicate across various lines of business/compliance teams and thus will need to have the ability to influence quality and timeliness of deliverables. In this capacity, the Issue Analyst requires strong communication and organizational ability as well as data management skills. Location: Charlotte NC strongly preferred. Other US locations will be considered.

Job Title: Senior Compliance Manager Company: Bank Of America Location: Charlotte, NC Description: Implements and manages compliance programs for one or more business groups. Exercises judgment and influences business managers and peers to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Corporate Compliance's mission, goals and strategies. May manage other associates. Directs and manages compliance programs for one or more business groups. Exercises judgment and influences business mangers and peers to ensure enforcement of compliance program, balancing business strategy with appropriate risk management controls. Responsible for participation and guidance on initiatives and strategies, identification of key issues, ensuring resolution and escalation as appropriate and providing independent Compliance assessment of area of responsibility. Contributes to the development, implementation and communication of Corporate Compliance mission, goals and strategies. Key Responsibilities Direct accountability to influence peers and stakeholders to track, manage and update key deliverables and leverage for data needs. Location is Domestic, with Charlotte or Wilmington preferred. LOB specific role with ability to understand cross LOB impacts between Segments, Channels and Products. Responsible to provide guidance and input to support performance of independent assessment and evaluation of risks to which the LOB and key initiatives are exposed, ensure implementation of measures to prevent, eliminate or mitigate those risks and to monitor outcomes. Identify key risks, tracking action plans and escalate gaps and delay in remediation. Exercise judgment and influence LOB partners and stakeholders to ensure adherence to policy and regulatory requirements while maintaining an appropriate risk and reward balance. Participates and may direct associates or influence SME peers to analyze projects and/or initiatives within the LOBs. Ongoing responsibility to communicate assessment and implementation of Compliance mission, goals and strategies. Proactively manage relationship with key LOB and risk partners, provide feedback for regulatory representatives and other internal risk partners. Responsible for escalation of key issues to provide the independent Compliance perspective required by Regulators. Key Activities Responsible for Compliance guidance, oversight and assessment for Deposits/Payments Products initiatives and processes. Key initiatives may include Relationship Continuum, CA/NW Conversion, and the Wall Street Reform and Consumer Protection Act (with a focus on the Durbin amendment). Participate in process and governance routines to provide Compliance guidance and assessments, integrate into process reviews to determine impact, ensure clarity and communication regarding any regulatory changes, drive independent assessment, identify gaps and support testing and monitoring prioritization, evaluate and approve training and communication documents, provide input and content for State of Compliance and issues identification/resolution activities. Represent Compliance for LOBs and stakeholders. Interface with key Compliance partners- i.e. AML, Privacy etc. to provide consolidated views of Compliance for teams supported and escalate to ensure integrated view across all areas impacting that LOB.

Job Title: GWIM Compliance Manager - Compliance Examiner Company: Bank Of America Location: Charlotte, NC Description: General Job Description: Implements and monitors compliance programs for one or more departments or functions within GWIM. Applies knowledge and expertise to influence business managers and peers to ensure enforcement of compliance programs, balancing business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Corporate Compliance's missions, goals and strategies. Communicates and interacts with regulatory agencies, external consultants, and other internal risk management groups within area of responsibility. May manage other associates. Specific Job Description: Associate will be responsible for conducting the leading on site risk based compliance examinations of OSJs and Branch Offices for Merrill Lynch Wealth Management brokerage offices throughout the U.S. in compliance with the written examination standards. Ensure risks are appropriately addressed; best practice and process improvements are implemented. Adverse trends and risks are identified, communicated and resolved. Provide Compliance support to business partners, and within the Compliance Department. Complete special and ad hoc reviews and projects as identified or assigned in a quality and timely manner. LOCATION: This position can be filled in any US location. Eastern Time Zone preferred.

Job Title: Compliance Manager Company: Bank Of America Location: Charlotte, NC Description: Specific Line of Business This associate will be responsible for assisting with various deliverables relating to the Conflicts Management and Anti-Corruption (CMAC) Program. Responsibilities include: Developing and implementing critical reporting metrics used to assess key risk trends and effectiveness of CMAC Program implementation Maintaining and refining of key monitoring and reporting tools Managing of information repositories and communication tools employed to administer the CMAC Program across the bank Assisting in the development of monitoring and testing routines related to the CMAC Program Serving as CMAC Program administration point person for key stakeholders across all LOBs, ECFs and Global Regions within the bank Coordinating of Global Conflicts and Corruption Officers (GCCON) meetings and preparation of key presentation materials used for GCCON awareness and guidance. Developing/owning reporting and presentations utilized for communication with senior and executive leadership Assisting in the development and execution of CMAC Program risk assessments firm-wide Providing support (reporting, documentation development, presentations) to subject matter experts that serve as firm-wide experts on: 1) core enterprise compliance policies including I) Anti-Bribery / Anti-Corruption, II) Conflicts of Interest, III) Gifts & Entertainment, and IV) Outside Directorship, and 2) the Code of Ethics. Assisting in development of CMAC Program process routines

Job Title: Senior Compliance Manager - Issues Oversight Manager - Channels/Segments Company: Bank Of America Location: Charlotte, NC Description: The Issue Oversight Manager (IOM) will build the Regulatory Issue Management process within Channels and Segments In this role, the IOM will drive issue remediation through planning, quality control, management oversight, tracking and reporting for all regulatory agency issues. Specifically, the IOM will: Coordinate post regulatory exam exit meeting with regulators Oversee development of the Issue summary, action plan and Response letter development/submission to regulators Lead routines/tollgates for every action plan milestone completion and change control Lead issue status updates into the system of record Control path of escalation if an issue is at risk Partner with Testing/Validation team to ensure issue is fully remediated and resolved by LOB Work within the Enterprise Compliance Regulatory Issue Management framework Develop management routines to confirm and address the understanding of the regulatory issue(s), action plans, any movement of resolution or milestone dates, and validation required with the LOB, Compliance risk leaders and Corporate Audit; Be responsible for the end to end issue management oversight and reporting for Channels and Segments. The IOM will be responsible for communicating across various lines of business and will have to have a strong ability to influence quality and timeliness of deliverables. In this capacity, the IOM requires strong communication and organizational skills.