Compliance Specialist

Advisors, operations, compliance and technology teams total roughly 560 people. Regulatory oversight is constant, and the compliance department is one of the largest in the company.

The position:

Charlotte Planning Group is looking for a Compliance Specialist to join a small, steady team. Reports to the Chief Compliance Officer. This role is fully remote within the US. Normal working hours, Monday to Friday.

Main duties:

• Advise managers on regulatory questions in day-to-day operations
• Track regulatory changes and assess their effect on products and processes
• Monitor compliance with BSA/AML, OFAC and consumer rules such as Reg E, Reg Z and TRID
• Review suspicious activity alerts and prepare SAR filings within deadlines
• Write and update compliance policies and procedures
• Test branch and lending processes against policy and regulation
• Perform enhanced due diligence reviews on higher-risk accounts

Skills and experience:

• 2-4 years of compliance, audit or risk experience in banking or financial services
• Sound judgment and the confidence to escalate
• Experience with regulatory exams (FDIC, OCC, Federal Reserve or state regulators)
• Strong writing for policies, findings and board reports
• Organized, with a careful approach to documentation
• Comfortable training groups and presenting to committees

Pay and benefits:

Salary range: $95,000 - $124,000 annually

• Health savings account (HSA) with employer contribution
• 401(k) with a 100% match up to 5%
• Paid time off

EOE. We participate in E-Verify.

Applicants must be authorized to work in the U.S.

Interview process: a phone call, a meeting with the hiring manager, and a final conversation with the team.

Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Charlotte Planning Group.