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About this role: Wells Fargo is seeking a Lead Compliance Officer in Corporate Risk as part of Corporate &amp; Investment Banking (CIB) Compliance. Learn more about the career areas and business divisions at wellsfargojobs.com. This Lead Compliance Officer will conduct monitoring activities of the front line of Municipal Products Group (MPG) for compliance with MSRB, FINRA, and SEC rules. In this role, you will: <ul><li>Provide oversight and monitoring of business group risk-based compliance programs</li><li>Maintain compliance risk expertise and consulting for projects and initiatives with moderate to high risk, over multiple business lines</li><li>Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements</li><li>Oversee the Front Line's execution and challenges appropriately on compliance related decisions</li><li>Develop, oversee, and provide independent credible challenge to standards with subject matter expertise</li><li>Provide direction to the business on developing corrective action plans and effectively managing regulatory change</li><li>Report findings and make recommendations to management and appropriate committees</li><li>Identify and recommend opportunities for process improvement and risk control development</li><li>Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements</li><li>Monitor the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management</li><li>Oversee the Front Line's execution and challenges appropriately on compliance related decisions</li><li>Make decisions and resolve issues to meet business objectives</li><li>Interpret policies, procedures, and compliance requirements</li><li>Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals</li><li>Work with complex business units, rules and regulations on moderate to high risk compliance matters</li><li>Interface with Audit, Legal, external agencies, and regulatory bodies on risk related topics</li></ul>Required Qualifications: <ul><li>5+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education</li></ul>Desired Qualifications: <ul><li>3+ years of direct experience in the fixed income securities industry in underwriting, trading, sales, compliance, legal, or regulatory</li><li>Knowledge and understanding of MSRB, FINRA, and SEC rules and regulations</li><li>FINRA registration including one or more of the following: FINRA Series 7, FINRA Series 52, FINRA Series 53, FINRA recognized equivalents, or willingness to obtain within 1 year of hire date</li><li>Advanced Microsoft Office Skills</li><li>Ability to prepare presentations and senior management reporting while analyzing data and making meaningful conclusions</li><li>Ability to interact with integrity and a high level of professionalism with all levels of an organization</li><li>Excellent verbal, written, and interpersonal communication skills including the ability to communicate effectively across various stakeholders</li><li>Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment</li><li>A BS/BA degree or higher</li></ul>Job Expectations: <ul><li>This position offers a hybrid work schedule</li><li>Willingness to work on-site at stated location on the job opening</li><li>This position is not eligible for VISA sponsorship</li><li>This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.</li></ul>Pay Range Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates. $111,100.00 - $237,100.00 Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees. <ul><li>Health benefits</li><li>401(k) Plan</li><li>Paid time off</li><li>Disability benefits</li><li>Life insurance, critical illness insurance, and accident insurance</li><li>Parental leave</li><li>Critical caregiving leave</li><li>Discounts and savings</li><li>Commuter benefits</li><li>Tuition reimbursement</li><li>Scholarships for dependent children</li><li>Adoption reimbursement</li></ul>Posting End Date: 5 Oct 2024 *Job posting may come down early due to volume of applicants. We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law. Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. Wells Fargo Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by Wells Fargo. b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Lead Compliance Officer

About this role: The Head of Insights is an Enterprise Risk Management Executive who will lead a newly formed team in Strategic Enterprise Risk Management (SERM). This role will report directly into the Head of SERM. The responsibility of the team will be to identify predictive, insightful emerging risks across the breadth of Wells Fargo's lines of business. This new group will combine and align current members of existing Enterprise Thematic Analysis and Risk Intelligence efforts. In this role, you will: <ul><li>Identify early or emerging and trending risks, and propose potential solutions using risk-based analysis.</li><li>Work in partnership with Risk Officers, Business Groups, and Subject Matter Experts on "deep dive" thematic analyses. </li><li>Provide SWOT and fast response analysis to better support, contribute to, and assist overall risk governance.</li><li>Provide in-depth analysis across prioritized themes and use those to drive proposed solutions to mitigate, avoid or transfer risks, before they are realized.</li><li>Drive more effective integration of these predictive efforts to inform Wells Fargo's CRO, CEO, CFO, Operating Committee &amp; Board of Directors. </li><li>Utilize disparate and disconnected internal and external data sources to synthesize complex datasets.</li><li>Interpret and develop strategic risk themes into descriptive calls to action. </li><li>Contribute to high level meetings with Risk leaders and Wells Fargo Risk Committee members, as appropriate.</li><li>Attend meetings with Regulators, Compliance, Control, and Audit leadership, as needed.</li><li>Manage allocation of people and financial resources.</li><li>Develop and guide a culture of talent development to meet business objectives and strategy.</li></ul>As a leader, you will lead your team with integrity and create an environment where your employees feel included, valued, and supported to do work that energizes them. You will have accountability for management responsibilities which include sourcing and hiring talented employees, providing ongoing coaching and feedback, recognizing, and developing employees, identifying, and managing risks, and completing daily management tasks. The Candidate Leadership, integrity, and credibility will be determining factors in selection. Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and regarding their accomplishments. This role requires leaders with strong relationship management, influencing, vision, and execution skills. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment. This role requires a sense of urgency, passion for results, and personal accountability for achievement. Required Qualifications: <ul><li>8+ years Risk Management (Compliance, Financial Crimes, Operational Risk, Audit, Legal, Credit Risk, Market Risk, IT Systems Security, Business Process Management) or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education</li><li>4+ years of Management experience</li></ul>Desired Qualifications: <ul><li>Deep understanding of the rapidly evolving governance and regulatory environments as well as industry and risk-related best practices.</li><li>Strong analytical, critical thinking and problem-solving skills, coupled with an ability to translate ambiguous ideas/issues into well-defined plans/solutions with a track record for delivering results.</li><li>Effective communicator, both orally and in writing; able to ask well-crafted questions and present ideas in a clear and compelling manner; good listener who engenders creative thinking and teamwork.</li><li>An ability to develop and articulate sound proposals to key stakeholders, and an ability to influence and drive timely decision making.</li><li>Proven ability to cultivate relationships and collaborate with multiple stakeholders and constituencies, including business leaders, Legal, Audit and multiple U.S. and non-U.S. Regulators.</li><li>Proven ability to build and lead high-performing teams, ensuring proper staffing and expertise, and manage the establishment of major policies and relevant compliance programs across major business divisions within a large and complex organization.</li><li>Ethical integrity and proven ability to serve as a role model by reinforcing and demonstrating to your team members Wells Fargo's core values and behavioral expectations.</li></ul>Job Expectations: <ul><li>Foster an environment that ensures strong communication and cooperation across the three lines of defense.</li><li>Create a culture of excellence by proactively attracting, retaining, and developing a team of talented and diverse professionals.</li></ul>Pay Range Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates. $207,900.00 - $431,900.00 Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees. <ul><li>Health benefits</li><li>401(k) Plan</li><li>Paid time off</li><li>Disability benefits</li><li>Life insurance, critical illness insurance, and accident insurance</li><li>Parental leave</li><li>Critical caregiving leave</li><li>Discounts and savings</li><li>Commuter benefits</li><li>Tuition reimbursement</li><li>Scholarships for dependent children</li><li>Adoption reimbursement</li></ul>Posting End Date: 20 Nov 2024 *Job posting may come down early due to volume of applicants. We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law. Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. Wells Fargo Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by Wells Fargo. b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Head of Insights - Strategic Enterprise Risk Management (SERM)

About the role The purpose of this position is to lead the CBRE Quality Representatives staff on a large prioritized client account. This role leads the creation, revision, and enforcement of all aspects of the CBRE Quality Management System (QMS), or in situations where CBRE operates within the client's QMS, ensures the integration and ongoing oversight aspects required by that QMS are appropriately performed by the CBRE Quality Representatives. This position collaborates with the client's Quality Assurance team leadership to support routine quality assurance and quality results. This position supports change, event &amp; root cause analysis processes through review and/or approval actions. This role ensures all CBRE employees are qualified for the work they are performing. Lastly, this position is responsible for ensuring all master service agreement and quality agreement deliverables are implemented per those respective contract terms. What you'll do <ul><li>Leads the day-to-day Quality and Compliance Team operations at one or more account sites. Monitors operations at each site and resolves compliance status with regards to local and global regulatory standards as well as client specific requirements as defined in the master service agreement or Quality Agreement.</li><li>Delivers and implements the CBRE compliance program and/or the client's compliance program. Attends Quality Forum monthly meetings to provide in-depth explanations for monthly reports and department metrics. Leads and participates in continuous improvement objects for both CBRE and the client.</li><li>Interfaces, partners, and interacts with both CBRE and the clients functional areas and leadership teams. Appropriately communicates quality and compliance initiatives and/or issues across the functional areas impacted. Responsible for reporting Compliance (among other quality and business metrics) status to the client during review meetings. Appropriately raises and notifies CBRE and client management of quality and compliance issues.</li><li>Responsible for the inspection readiness program for the site. Inspection readiness may include periodic CBRE self inspection, client self inspections, or any external agency inspections like the FDA. Has the responsibility to lead audits as well as serve as the primary quality representative for CBRE operations during external agency or client audits. Accountable to the client and/or agency for audit observations and the associated corrective measures.</li><li>Responsible for the vendor management program for the site. Has the responsibility to ensure all GxP service providers are qualified per the CBRE regulated vendor qualification process (as well as any client directed qualification program). Accountable for approving all necessary quality agreements with third party service providers and ensuring the ongoing oversight of those vendors is performed.</li><li>Responsible for the training and qualification program for CBRE employees. Ensures that all employees are qualified for the role they perform.</li><li>Trains CBRE account personnel on the use of elements within the Quality Management System. Ensures the QA staff is qualified and delivering on the objectives of the QMS, annual quality plan, and the quality agreement with the client.</li><li>Oversees the execution (maybe required to participate) and tracks the success of CBRE quality of service initiatives on the account for non-regulated services.</li><li>Authors and negotiates terms of Quality Agreements with clients and vendors.</li><li>Coordinates vendor management program and qualify GxP vendors, as needed.</li><li>Investigates deviations/events, issues and manages Corrective/Preventative Actions. Participates in creation and management of changes.</li></ul>What you'll need Bachelor's degree or equivalent related work experience. Minimum 5+ years related work experience required. Previous experience within a quality organization within Life Science Environment(s), Facilities Management and/or Pharmaceutical/ Biotech required. Previous leadership experience is nice to have. FDA, ISO, or similar quality assurance audit related certification preferred. Must have appropriate license and/or certification where required by law. Must hold Quality in Pharmaceutical Manufacturing environment. Why CBRE? At CBRE, we admire creativity, innovation, and partnership, and we offer endless opportunities for growth. We are a direct hire company that provides everything from competitive pay, Health, Dental, Vision, Pet Insurance, and 401k Match programs. Disclaimer Applicants must be currently authorized to work in the United States without the need for visa sponsorship now or in the future. Equal Employment Opportunity: CBRE is an equal opportunity employer that values diversity. We have a long-standing commitment to providing equal employment opportunity to all qualified applicants regardless of race, color, religion, national origin, sex, sexual orientation, gender identity, pregnancy, age, citizenship, marital status, disability, veteran status, political belief, or any other basis protected by applicable law. Candidate Accommodations: CBRE values the differences of all current and prospective employees and recognizes how every employee contributes to our company's success. CBRE provides reasonable accommodations in job application procedures for individuals with disabilities. If you require assistance due to a disability in the application or recruitment process, please submit a request via email at <a href="mailto:recruitingaccommodations@cbre.com" target="_blank">recruitingaccommodations@cbre.com</a> or via telephone at +1 866 225 3099 (U.S.) and +1 866 388 4346 (Canada). NOTE: Some, but not all, of our positions may have an additional requirement to comply with COVID-19 health and safety protocols, including COVID-19 vaccination proof and/or rigorous testing. If you have questions about the requirement(s) for this position, please inform your Recruiter. CBRE GWS CBRE Global Workplace Solutions (GWS) works with clients to make real estate a meaningful contributor to organizational productivity and performance. Our account management model is at the heart of our client-centric approach to delivering integrated real estate solutions. Each client is entrusted with a dedicated leader and is supported by regional and global resources, leveraging the industry's most robust platform. CBRE GWS delivers consistent, measurably superior outcomes for our clients at every stage of the lifecycle, and across industries and geographies. Find out more

Quality & Compliance Manager- Pharmaceutical Manufacturing

Are you interested in being part of a team that is working to transform and do things differently? Do you enjoy doing impactful work while meeting critical timelines? Are you interested in working on meaningful projects? Do you want to work with innovative technology? If so, LPL Financial is the place for you! LPL Financial (Nasdaq: LPLA) was founded on the principle that the firm should work for the advisor, and not the other way around. Today, LPL is a leader* in the markets we serve, supporting more than 18,000 financial advisors, 800 institution-based investment programs and 450 independent RIA firms nationwide. We are steadfast in our commitment to the advisor-centered model and the belief that Americans deserve access to personalized guidance from a financial advisor. At LPL, independence means that advisors have the freedom they deserve to choose the business model, services, and technology resources that allow them to run their perfect practice. And they have the freedom to manage their client relationships because they know their clients best. Simply put, we take care of our advisors, so they can take care of their clients. Job Overview: We are currently looking for a highly motivated Compliance professional for the AVP, Compliance Officer role supporting our newest Broker-Dealer/Investment Advisory firm, LPL Enterprise. This role will work with the Chief Compliance Officer to assure the firm establishes and maintains a robust compliance program designed to achieve and maintain adherence with applicable laws and regulations governing the sales practices for Investment Advisory and Broker-Dealer activities. The LPL Compliance team provides compliance support to LPL holistically to identify and address matters impacting the activities of the firm and partnering broadly to address the needs of our business partners as well as protect the firm and our advisors through prudent and effective control design and implementation. In addition, members of the compliance team are expected to assist in identifying and mitigating key risk areas by assisting in various regulatory and business-driven initiatives. The ideal candidate will possess a strong understanding of regulatory requirements related to the sale of securities products as well as the operations of an introducing Broker-Dealer/Investment Advisor. Responsibilities: <ul><li>Developing and maintaining policies and procedures and the overall design and maintenance of LPL's Compliance Program.</li><li>Execute on strategic approaches to compliance reviews, issues and/or concerns to minimize the company's exposure.</li></ul><ul><li>Establish policies and procedures related to conflicts of interest.</li><li>Monitor the firm's sales practices and adherence to rules and regulations.</li><li>Oversee the review of advertising and marketing materials to ensure compliance with regulations.</li><li>Lead the firm's compliance education efforts, as well as the tracking of completion of those requirements.</li><li>Establish the strategic direction for all compliance initiatives.</li><li>Annually oversee supervisory controls testing and report gaps to senior management.</li><li>Assist on special projects and ad hoc assignments.</li><li>Provide key input and guidance to governance and steering committees to ensure Compliance considerations are central to the decision making processes of the business</li></ul>Requirements: <ul><li>3-5 years experience working within the broker/dealer space</li><li>Bachelor's Degree</li><li>Advanced knowledge of SEC and FINRA rules and regulation</li><li>Working knowledge of data analytics and management reporting</li><li>Excellent oral and written communication skills and the ability to interact at a senior level, both internally and externally</li><li>Interpretative thinking and advanced analytical skills to problem-solve in often complex situations</li></ul>Preferences: <ul><li>Series 7/24 Preferred</li><li>Experience in Insurance/Annuities</li></ul>Pay Range: $101,900.00 - $169,900.00 Actual base salary varies based on factors, including but not limited to, relevant skill, prior experience, education, base salary of internal peers, demonstrated performance, and geographic location. Additionally, LPL Total Rewards package is highly competitive, designed to support your success at work, at home, and at play - such as 401K matching, health benefits, employee stock options, paid time off, volunteer time off, and more. Your recruiter will be happy to discuss all that LPL has to offer! Why LPL? At LPL, we believe that objective financial guidance is a fundamental need for everyone. As the nation's leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. We provide you with a work environment that encourages your creativity and growth, a leadership team that is supportive and responsive, and the opportunity to create a career that has no limits, only amazing potential. We are one team on one mission. We take care of our advisors, so they can take care of their clients. Because our company is not too big and not too small, you can seize the opportunity to make a real impact. We are committed to supporting workplace equality, and we embrace the different perspectives and backgrounds of our employees. We also care for our communities, and we encourage our employees to do the same. This creates an environment in which you can do your best work. Want to hear from our employees on what it's like to work at LPL? Watch this! We take social responsibility seriously. Learn more here Want to see info on our benefits? Learn more here Join the LPL team and help us make a difference by turning life's aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE. Information on Interviews: LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum. During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant's bank or credit card. Should you have any questions regarding the application process, please contact LPL's Human Resources Solutions Center at (855) 575-6947.

4 Jobs in Charlotte, NC, USA