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Compliance Officer
Raleigh, NC Professional experience in Compliance, Audit, or Legal Knowledge of retail banking activities such as AML, trade activity, code of ethics, conflict of interest, and social media review Strong understanding of laws and regulations impacting enterprise activities Ability to analyze and interpret complex laws and regulations Excellent communication and interpersonal skills Detail-oriented with strong organizational and time management skills Salary Information The average salary for a Compliance Officer in the United States is $69,029 per year. However, the salary range typically falls between $50,461 and $93,616 per year, depending on experience, qualifications, and location. Job Title Compliance Officer Experience 5 years in Compliance, Legal, or Audit Job Description The Compliance Officer is responsible for ensuring the legal, operational, and risk management compliance of the Bank’s broker-dealer and investment advisers. They are also responsible for overseeing and testing retail banking activities such as AML, trade activity, code of ethics, conflict of interest, and social media review. This role requires a strong understanding of current and changing laws, regulations, and policies that impact enterprise activities, as well as the ability to analyze and interpret complex regulations. H1: Compliance Officer Job Description and Salary Information H2: Responsibilities and Qualifications Responsibilities: - Analyze external laws and regulations to ensure compliance - Develop and revise policies and procedures to meet regulatory requirements - Act as a liaison between examiners, regulators, auditors, and legal and corporate compliance - Investigate and resolve issues related to compliance and risk management - Prepare reports for management on compliance reviews and legal changes - Maintain a strong knowledge of laws and regulations impacting the Bank - Serve as a resource to management and associates on compliance matters Qualifications: - Bachelor's Degree and 5 years of experience in Compliance, Legal, or Audit OR High School Diploma or GED and 9 years of experience in Compliance, Legal, or Audit - Certified Regulatory Compliance Manager (CRCM) designation preferred - Valid Series 7, 63, 24, 65 or 66, and preferred insurance licenses required - Professional experience in Compliance, Audit, or Legal - Knowledge of retail banking activities such as AML, trade activity, code of ethics, conflict of interest, and social media review - Strong understanding of laws and regulations impacting enterprise activities - Excellent communication and interpersonal skills - Detail-oriented with strong organizational and time management skills Salary Information: The average salary for a Compliance Officer in the United States is $69,029 per year, with a range of $50,461 to $93,616 depending on experience, qualifications, and location. - Responsible for ensuring legal, operational, and risk management compliance for broker-dealer and investment advisers - Oversees and tests retail banking activities such as AML, trade activity, code of ethics, conflict of interest, and social media review - Develops and revises policies and procedures to meet regulatory requirements - Acts as liaison between examiners, regulators, auditors, and legal and corporate compliance - Prepares reports for management on compliance reviews and legal changes - Maintains expert knowledge of laws and regulations impacting enterprise activities - Assists with internal and external audits - Implements new, compliant policies as needed - Ensures compliance with all applicable rules, regulations, and standards SEO-friendly job title: Experienced Compliance Officer - Legal, Operational, and Risk Management H1: Experienced Compliance Officer for Legal, Operational, and Risk Management Compliance H2: Responsibilities, Qualifications, and Salary Information |
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