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Regulatory Compliance Specialist Financial Compliance

Wealth Compliance Risk & Oversight Lead

Job in Charlotte, Mecklenburg County, North Carolina, 28245, USA
Listing for: TD Bank
Full Time position
Listed on 2026-02-05
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
A major financial institution in Charlotte, NC is looking for a Regulatory Compliance Expert to oversee compliance risks and collaborate with various business units. The ideal candidate will have at least 5 years of experience in compliance, specifically in integrated wealth businesses, and knowledge of banking regulations. Responsibilities include independent assessments, providing training, and developing compliance policies. This position requires excellent analytical and communication skills, with a focus on policy development and risk assessment.
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