Skip to content

This website uses cookies to provide features and services. By using the site you agree to the use of cookies.Cookie policy.  Close

Charlotte, NC Full Time Posted: Thursday, 23 May 2019
Job Description

At Employer, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.

Help us build a better Employer. It all begins with outstanding talent. It all begins with you.

Corporate Risk helps all Employer businesses identify and manage risk. We focus on three key risk areas: credit risk, operational risk and market risk. We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business activities exceed the risk tolerance of the company.

This senior level Compliance Officer will support the Employer Securities, Corporate Banking Group, Government and Institutional Banking - Commercial and Asset Backed Finance Compliance Programs (taken together collectively as, the WFS Compliance Program) by managing the documentation of a comprehensive compliance oversight program that will:
(1) establish and maintain corporate governance programs;
(2) support Compliance and other support group partners with the enterprise-wide enhancement of compliance structures due to new laws, regulations, Corporate and Wholesale requirements, new products and other emerging risks; and
(3) assist with the enhancement and maintenance of a fully integrated and streamlined WFS Compliance Program oversight process.

More specifically, this Compliance Officer, as a member of the CCI - Compliance Program Documentation Team will:
(1) provide support to Business Unit Compliance Officers (BUCOs), regarding the documentation of mitigating business specific controls (BSCs) related to traditional banking and lending regulations, including, but not limited to: FINRA, SEC and the MSRB;
(2) assist with regulatory monitoring and assessing the applicability of regulatory changes affecting the WFS Compliance Program;
(3) provide support to BUCOs relative to their documentation of the applicability of regulations and laws and/or policies to their respective coverage area(s); and
(4) assist with maintaining the Employer enterprise risk management systems on behalf of the WFS Compliance Program, and providing support to BUCOs relative to the data points related to the BSCs reported in those systems.

In the role this Compliance Officer will be required to acquire extensive knowledge of industry regulations, Corporate and Wholesale policies and standards as well as line of business operational procedures for a wide range of products and services. Key factors for success include facility for conducting independent research; facility for extracting relevant information via oral communication; preparing written reviews of regulations, policies, procedures and practices; and documentation of the WFS Compliance Program. The role requires coordination and cooperation with Compliance team members, Regulatory Proponents and Law Department personnel across the Corporation, strong communication skills and ease with building and managing relationships to achieve objectives.

Required Qualifications

  • 6+ years of experience in compliance, operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk), or a combination of both; or 6+ years of IT systems security, business process management or financial services industry experience, of which 3+ years must include direct experience in compliance, operational risk management, or a combination of both

Desired Qualifications

  • Advanced Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to interact with all levels of an organization
  • 8+ years of financial services experience
  • Ability to work independently
  • Ability to work and influence successfully within a Matrix environment and build effective business partnerships with all levels of team members

Other Desired Qualifications
  • Expertise in securities regulations
  • Experience in interacting with securities regulators
  • Experience with overseeing securities supervision strategy or compliance programs
  • Working knowledge of Employer Enterprise Risk Tools (SHRP/CRAS+, SHRP Issue Management, SHRP/RCSA)
  • Knowledge of securities and banking regulations relating to capital markets activities
  • Demonstrated ability to build effective partnerships with multiple stakeholders and effectively communicate assessment results and recommendations
  • Self-starter who is highly motivated to work in a fast-paced environment
  • Ability to integrate end-to-end business processes into critical thinking skills
  • Ability to multi-task and meet deadlines despite competing priorities
  • Ability to interact with all levels of management within the organization
  • Advanced analytical skills


All offers for employment with Employer are contingent upon the candidate having successfully completed a criminal background check. Employer will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Employer is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Charlotte, NC, United States of America
TMP Worldwide
5/23/2019 8:33:50 PM

We strongly recommend that you should never provide your bank account details to an advertiser during the job application process. Should you receive a request of this nature please contact support giving the advertiser's name and job reference.