North Carolina Licensed Compliance Director

Job Summary

Leading the execution of the independent Compliance Testing Program, the full-time North Carolina Licensed Compliance Director will manage a team focused on assessing compliance controls and regulatory risks within the Bank's Trust and Broker-Dealer businesses, working in a hybrid environment from Raleigh or Charlotte, or remotely for highly qualified candidates.

Key responsibilities

• Directs risk-based compliance testing activities and develops annual testing plans based on regulatory assessments and business activities
• Maintains expertise in fiduciary and broker-dealer regulations, ensuring testing strategies align with evolving regulatory expectations
• Partners with business leaders and compliance teams to enhance compliance controls and improve risk management practices

Required qualifications

• Bachelor's Degree and 10 years of experience, or High School Diploma/GED with 14 years of relevant experience in Compliance, Legal, or Audit
• 10+ years of experience in Compliance Testing or related risk management functions within a large financial institution
• Demonstrated experience leading compliance testing or audit programs covering fiduciary and broker-dealer businesses
• Strong knowledge of securities regulations and investment advisory business models
• Preferred licenses include FINRA Series 7, 24, and 65 or 66