Compliance Manager Jobs in Mooresville, NC
A Compliance Manager in the banking industry is responsible for ensuring that the bank's operations and business transactions follow all relevant legal and internal rules. They scrutinize the bank's conduct, identify potential areas of compliance risk and vulnerability, and implement corrective action plans. They also develop, initiate, maintain, and revise policies and procedures for the general operation of the compliance program. Hence, they play a crucial role in safeguarding the bank's reputation by ensuring it adheres to laws and regulations, professional standards, and accepted business practices.
Important skills for a Compliance Manager include attention to detail, analytical thinking, excellent communication, and problem-solving skills. They should have a solid understanding of compliance laws and regulations, and an ability to interpret legislation and legal documents. Desirable certifications include Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), and Certified Compliance & Ethics Professional (CCEP). Potential job roles leading to a Compliance Manager position could be Compliance Analyst, Compliance Officer or Compliance Auditor.
- Charlotte, NC (21 miles from Mooresville, NC)
- 7 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 7 days ago
, OFAC, FinCEN guidance) Positive energy on the future of crypto and Web3 Excellent communication skills (written and verbal), ability to simplify complex topics for broad audiences Experience working...
Compliance Manager - Third-Party Oversight
- Charlotte, NC (21 miles from Mooresville, NC)
- 1 day ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 1 day ago
This position will support Compliance for Credit Cards and Unsecured Lending, specifically related to oversight of third party vendors....
Financial Regulatory Reporting Manager
- Charlotte, NC (21 miles from Mooresville, NC)
- 5 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 5 days ago
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...
Senior Employee Experience Manager (Compliance Governance & Operations Manager)
- Charlotte, NC (21 miles from Mooresville, NC)
- 5 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 5 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...
Compliance Manager, Regulatory Change Management
- Charlotte, NC (21 miles from Mooresville, NC)
- 6 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 6 days ago
Strong working knowledge of federal and state banking laws and regulations including, but not limited to, Reg Z, E, DD, CC, UDAAP, FCRA, BSA/AML, and Fair Lending....
Director - HR Compliance Director - HR Compliance
- Mooresville, NC
- 6 days ago
- Mooresville, NC
- 6 days ago
Director - HR Compliance Lowe's Home Improvement 3.5 ( ) Mooresville, NC Why you should apply for a job to Lowe's Home Improvement : 5/5 in supportive management 65% say women are treated fairly...
Director, Compliance Officer u2013 Crypto & Digital Assets
- Charlotte, NC (21 miles from Mooresville, NC)
- 12 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 12 days ago
), Anti-Money Laundering (AML), and sanctions requirements Provide clear and pragmatic compliance guidance in a fast-paced and ambiguous environment Engage with regulators, industry groups, and internal...
Senior Manager - Compliance Programs Governance
- Charlotte, NC (21 miles from Mooresville, NC)
- 12 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 12 days ago
banking, broker-dealer operations, and wealth management....
Compliance Manager - Compliance Monitoring and Programs
- Charlotte, NC (21 miles from Mooresville, NC)
- 12 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 12 days ago
The Compliance Manager - Compliance Monitoring Programs will lead and enhance our Compliance Management System (CMS) with a focus on loan performance and servicing....
Risk Compliance Officer II - Compliance Testing
- Charlotte, NC (21 miles from Mooresville, NC)
- 22 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 22 days ago
Location: On site in Memphis, TN, Johnson City, TN, Orlando, FL, Miami Lakes, FL, Asheboro, NC, Knoxville, TN, Longwood, FL, Birmingham, AL Summary The primary responsibility of this position is...
Lead Compliance Officer - Corporate and Investment Banking (CIB) Compliance
- Charlotte, NC (21 miles from Mooresville, NC)
- 22 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 22 days ago
About this role: Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB Compliance. The Lead Compliance Officer...
Senior Compliance Officer - Customer Complaints & Regulatory Response
- Charlotte, NC (21 miles from Mooresville, NC)
- 23 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 23 days ago
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...
Manager, Third-Party Risk Manager, Compliance Program Management (CPM)
- Charlotte, NC (21 miles from Mooresville, NC)
- 23 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 23 days ago
Work Location: Charlotte, North Carolina, United States of America Hours: 40 Pay Details: - TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth...
Remote WorkAudit Project Manager - Compliance
- Charlotte, NC (21 miles from Mooresville, NC)
- 29 days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 29 days ago
Location: On site at location listed in job posting SUMMARY: Primarily responsible for completing audit engagement assignments with minimal supervision. The Audit Project Manager is expected to:...
- Charlotte, NC (21 miles from Mooresville, NC)
- 30+ days ago
- Charlotte, NC (21 miles from Mooresville, NC)
- 30+ days ago
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...
Demographic Data for Mooresville, NC
Moving to Mooresville, NC? Find some basic demographic data about Mooresville, NC below.
Compliance Manager Online Courses and Training Opportunities
Salary for Compliance Manager Jobs in Mooresville, NC
Required or preferred licenses and certifications for Compliance Manager positions.
Highest Education Level
Compliance Managers in Mooresville, NC offer the following education backgroundQualifications / Skill Sets
The following top skills are often required or desired to land a Compliance Manager position
- Quality Systems
- Implementation
- International Business
- Securities and Exchange Commission
- Management Reporting
- FDA Regulations
- Fixed Income
- Laboratory Information Management System
- Equity Research
- Stormwater Pollution Prevention Plan
- National Pollutant Discharge Elimination System
- Equities
- Control & Countermeasure
- Lending
- Tila Respa Integrated Disclosures
- BSA
- Know Your Customer
- Private Banking
- OFAC
- Financial Services
- Wealth Management
- Internal Control
- Capital Markets
- USDA
- Anti-Money Laundering
- Fraud Investigation
- Due Diligence
- Resolution
- Risk Management
- Finance
- Strategy Development
- Auditing
- Policy Administration
- Microsoft Outlook
- Written Communication
- Documentation
- Coaching
- Verbal Communication
- Investigation
- Mentoring
- Reporting
- Collaboration
- Filing
- Interpersonal Skills
- Quality Assurance
- Policy Development
- Bachelor's Degree
- Microsoft PowerPoint
- Project Management
- Regulations
- Problem Solving
- Microsoft Excel
- Microsoft Office
- Time Management
- Research Skills
- Staff Supervision
- Organization
- Customer Service
- Scheduling
- Leadership
- Communication Skills
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