Compliance Officer Career Research and Resources
Revogenex, Inc.
-• Supervise a team of 3 who are responsible for each of the CMO Quality Systems: Investigations, Lachman Consultant Internal/External Audits response, CAPA, Change Control, Inventory Control, Supplier Qualification, Manufacturing QA Operations Oversight, Review and Approval of QC results, Certificate of Analysis, Incoming/Receiving QA, Laboratory QA and CMC filing support. • CMO risk management to address: delays in ...
Avg. Salary: $85,000 · Company Rank: Not Available
BB&T formerly Colonial Bank
consumer and business loan and deposit regulations, work with regulators, oversee, manage, train, report to executive, serve on community boards, supervise, review, analyze, report, recommend, decide action plans,large region of branches, department and offices, audit, risk assessment, fair lending, residential mortgages, member of compliance associations and other community organizations
Avg. Salary: $105,000 · Company Rank: Not Available
Barnett Bank formerly Nations Bank, now BOA
commercial real estate, consumer and business compliance, documentation, training, loan review, credit administration, negotiate loan documents with attorneys representing the bank
Avg. Salary: $105,000 · Company Rank: Not Available
Chase formerly First FA
Loan Review, Underwriting, Manage, Supervise, Report to Board, Train, Present, Write and Implement Policy for Board approval
Avg. Salary: $105,000 · Company Rank: Not Available
WaMu Investments
• Regional trade review (pre-approvals, trade blotter, escalated issues) • Offshore trading, over $500K trade approval, 1035 partials, FINRA/SEC audits • West Coast Operations Principal for LSM Program
Avg. Salary: $70,000 · Company Rank: Not Available
The Ayco Co. LP (Goldman Sachs)
• Financial counseling preparation including investments, tax preparation, estate planning, and company benefits analysis for executive clients of "Fortune 500" companies • Regional compliance representation and duties • Continuous executive client liaison resource
Avg. Salary: $70,000 · Company Rank: Not Available
Pappas Financial
• Complete licensing/compliance needs for insurance agency and securities broker dealer • Daily bookkeeping for internal companies, FINRA FOCUS reporting • Registered Representative FINRA Contact - Web CRD/IARD
Avg. Salary: $70,000 · Company Rank: Not Available
Finacorp Securities
• Oversight and execution of all compliance functions and personnel • Complete registration and licensing of all company personnel • Preparation and submission of regulatory filings, monitoring of email, and trading activity.
Avg. Salary: $70,000 · Company Rank: Not Available
Paymotech Finance
Processed the License Application as a Money Transmitter and MSB Registration. Defined, developed and implemented the internal controls for the Company. Updated and enforced the Internal procedures as well as enforcement and monitoring changes in regulations. Developed the AML Compliance training for Employees and Agents. Trained and tested all employees and Agents. Set up of the Regulatory reporting and transaction monito...
Avg. Salary: $65,000 · Company Rank: Not Available
CMAC (Consumer Mortgage Auditing Center)
As an Auditor: Analyzed all loan file documents including, but not limited to, DTI, LTV, program guidelines, income calculations, asset review, tax returns, appraisals. Determined underwriting deficiencies at origination of loan by identifying discrepancies with RESPA, and TIL requirements, evaluating possible risk and law breaches at time of closing, generating a Report with the pertinent citations sent to the Client As Q...
Avg. Salary: $65,000 · Company Rank: Not Available
