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Compliance analyst Jobs in Raleigh, NC

Last updated: 23 hours ago
  • Promoted
SENIOR COMPLIANCE MANAGER

SENIOR COMPLIANCE MANAGER

CAPTRUSTRaleigh, NC, United States
Full-time
The Senior Compliance Manager will be responsible for a variety of key advisory and broker-dealer supervisory processes and procedures required by regulation and to assist in the regulatory risk mi...Show moreLast updated: 2 days ago
Compliance Associate

Compliance Associate

HedgeServRaleigh, NC
HedgeServ is a leading global fund administrator with more than $450 billion in assets under administration across all investment vehicles including Hedge Funds, Private Equity Funds, UCITS, Hybrid...Show moreLast updated: 30+ days ago
  • Promoted
OPERATIONS & COMPLIANCE DIRECTOR

OPERATIONS & COMPLIANCE DIRECTOR

AmentumRaleigh, NC, United States
Full-time
This position is contingent upon Customer approval, funding, and position availability.Amentum seeks a qualified, solutions and results-oriented candidate to serve as an • •Operations & Compliance ...Show moreLast updated: 4 days ago
  • Promoted
Vice President, Compliance & Privacy, Chief Compliance Officer #4025

Vice President, Compliance & Privacy, Chief Compliance Officer #4025

GRAIL IncRaleigh, North Carolina, United States
Full-time
Our mission is to detect cancer early, when it can be cured.We are working to change the trajectory of cancer mortality and bring stakeholders together to adopt innovative, safe, and effective tech...Show moreLast updated: 30+ days ago
Program Compliance Specialist

Program Compliance Specialist

Quadel Consulting Corporation.Raleigh, NC, US
Quick Apply
Candidate must live in North Carolina.This is a remote / out-stationed position serving Raleigh-Durham and all of North Carolina, the Program Compliance Specialist will physically travel to sites wit...Show moreLast updated: 30+ days ago
Compliance Training Advisor

Compliance Training Advisor

AlphanumericRaleigh, NC
$42.50 hourly
Through the end of December 2024.The primary purpose of this role is to support the day-to-day learning administration, coordination, and facilitation needs of the site. Collaborative working with l...Show moreLast updated: 30+ days ago
  • Promoted
MQA Compliance Specialist

MQA Compliance Specialist

Indivior PLCRaleigh, NC, United States
Full-time
Indivior is a global pharmaceutical company working to help change patients' lives by developing medicines to treat substance use disorders (SUD). Our vision is that all patients around the world wi...Show moreLast updated: 5 days ago
  • Promoted
Compliance Assurance Lead

Compliance Assurance Lead

Epic GamesCary, NC
At the core of Epic's success are talented, passionate people.Epic prides itself on creating a collaborative, welcoming, and creative environment. Whether it's building award-winning games or crafti...Show moreLast updated: 12 days ago
  • Promoted
Environmental Compliance Program Manager

Environmental Compliance Program Manager

METARaleigh, NC, United States
$179,000.00 yearly
Full-time
Summary : Meta designs, builds, leases and operates the most innovative and efficient data centers in the world.Developing, operating and managing the data center infrastructure and facilities the "r...Show moreLast updated: 4 days ago
Compliance Management Lead

Compliance Management Lead

QlikRaleigh, North Carolina
$110,000.00–$130,000.00 yearly
A Gartner Magic Quadrant Leader for 14 years in a row, Qlik transforms complex data landscapes into actionable insights, driving strategic business outcomes. Serving over 40,000 global customers, ou...Show moreLast updated: 30+ days ago
Senior Compliance Analyst - Enhanced Due Diligence (Remote)

Senior Compliance Analyst - Enhanced Due Diligence (Remote)

First Citizens BankRaleigh, North Carolina
$75,000.00 yearly
Remote
Full-time
Overview The Senior Compliance Analyst is part of FCB Financial Intelligence Unit’s Due Diligence Group team with the specific responsibilities of assessing and managing client BSA / AML risks both a...Show moreLast updated: 30+ days ago
  • Promoted
Program Compliance Specialist

Program Compliance Specialist

Quadel ConsultingRaleigh, NC, United States
Full-time
Candidate must live in North Carolina.This is a remote / out-stationed position serving Raleigh-Durham and all of North Carolina, the Program Compliance Specialist will physically travel to sites wit...Show moreLast updated: 4 days ago
Compliance Partner (Remote)

Compliance Partner (Remote)

Vaya HealthRemote, NC, US
Remote
Full-time
Remote – this is a home based, virtual position that operates on US Eastern Standard Time within the hours of 8 : 30am-5 : 00pm. Vaya Health welcomes applications from NC, SC, GA, TN, VA, MD, and FL.Nor...Show moreLast updated: 30+ days ago
  • Promoted
Security Compliance Specialist

Security Compliance Specialist

TEKsystemsCary, NC, US
Temporary
ISO 27001 - this person will need to have Sr.Expert level experience within ISO 27001 Framework and within the implementation process. This person will be assisting with leading the implementation o...Show moreLast updated: 30+ days ago
  • Promoted
Legal and Compliance Counsel

Legal and Compliance Counsel

Local Government Federal Credit UnionRaleigh, North Carolina, US
Full-time
Local Government Federal Credit Union.The North Carolina credit union for local government employees, elected and appointed officials, volunteers and their families. Apply fast, check the full descr...Show moreLast updated: 23 hours ago
Compliance Specialist

Compliance Specialist

WakeMedRaleigh, NC
Full-time
The Compliance Specialist will assist with all aspects of the day-to-day operation of WakeMed?s Corporate Compliance program. The Compliance Specialist?s responsibilities may include but not limited...Show moreLast updated: 30+ days ago
IT Analyst Sr. - Compliance

IT Analyst Sr. - Compliance

First Horizon BankRaleigh, NC , US
Full-time
ESSENTIAL DUTIES AND RESPONSIBILITIES.Maintain compliance program within IT including SOX, PCI, and banking regulations.Designing and maintaining workflow documentation to clearly identify key cont...Show moreLast updated: 30+ days ago
Independence Compliance – Sr. Analyst

Independence Compliance – Sr. Analyst

DeloitteRaleigh, North Carolina, US
$66,200.00–$135,800.00 yearly
Compliance Senior Analyst, Independence Consultation – Business Relationships, Independence & Conflicts Network (ICN).Do you have a focus on compliance with regulations and policies? Are you passio...Show moreLast updated: 30+ days ago
Compliance Inspector

Compliance Inspector

7G Environmental Compliance ManagementRaleigh, NC, US
Full-time
Quick Apply
Our Company At 7G, we're the go-to partner for petroleum tank owners across the country.We tackle environmental challenges while consistently keeping things compliant. Our values are simple : excelle...Show moreLast updated: 3 days ago
  • Promoted
Senior Environmental Compliance Leader

Senior Environmental Compliance Leader

KleinfelderCary, NC
Full-time
Take Your Environmental Career to the Next Level.Are you ready to be challenged, make a difference, and experience professional growth in your career? Kleinfelder's Environmental team is looking fo...Show moreLast updated: 12 days ago
SENIOR COMPLIANCE MANAGER

SENIOR COMPLIANCE MANAGER

CAPTRUSTRaleigh, NC, United States
2 days ago
Job type
  • Full-time
Job description

Overview :

WHO are we looking for?

CAPTRUST is seeking a Senior Compliance Manage r to join our Compliance Team. The Senior Compliance Manager will be responsible for a variety of key advisory and broker-dealer supervisory processes and procedures required by regulation and to assist in the regulatory risk mitigation. This position requires the individual to be able to work independently, assess information both conceptually and analytically-as well as providing insight and guidance to improve / enhance our regulatory compliance program.

Responsibilities :

  • Act as subject matter expert to review and approve marketing materials for institutional and client use in compliance with updated SEC Marketing Rule
  • Lead the Compliance Team effort in testing and monitoring as required under Rule 206(4)-7 of the Investment Advisers Act Coordinate and provide consistency in the preparation and presentation of results to assist with annual compliance program review reports
  • E-communications review and analysis
  • Provide primary support to resolve compliance issues and communicate them to Compliance leadership
  • Assist with the process to maintain and renew licensing & registrations of firms employees
  • Coordination with Compliance Directors to review and assist in improving Compliance Processes & Procedures
  • Assist on special projects, ad hoc assignments, and other compliance-related matters as directed by Compliance Director

Qualifications :

Minimum Qualifications :

  • 10+ years of experience working at an investment advisory firm and / or broker-dealer with direct experience in compliance
  • 4-year college degree or combination of education and experience
  • Compliance program testing and monitoring
  • Regulatory licensing (7 and 66, 65, 24, etc.)
  • Highest standard of personal and professional ethics and integrity
  • Desired Qualifications / Skills :

  • Demonstrable working knowledge of industry regulations : The Investment Advisers Act of 1940 and the Securities Exchange Act of 1934, FINRA Rules
  • Compliance certifications (CSCP, CCEP, CICCP, IACCP, CRCP, etc.) a plus
  • Forensic auditing and testing experience
  • Insurance industry experience a plus
  • FINRA Series 7 and 24 licenses, 65 or 66 licenses, or willingness to obtain within 24 months
  • Intermediate to advanced knowledge of MS Excel
  • Experience with Global Relay, MCO, Red Oak and other Compliance technologies
  • Excellent written communication skills
  • WHAT can you expect from your career at CAPTRUST?

    Our colleagues, like our clients, tend to stay with CAPTRUST for years. Theres a reason for it; its a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.

    Our Employee Benefits Package shows how much we value our team. Some benefits include :

  • Employee ownership opportunities
  • Brick Bonus success sharing program
  • Comprehensive health coverage + Virgin Pulse wellness platform
  • 401(k) program with a 5% employer match + financial planning for colleagues
  • WHERE will you be working?

    4208 Six Forks Rd #1700 | Raleigh, NC 27609

    Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite

    HOW do we build a world class organization one brick at a time?

    We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put : the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.

    Are you the next brick?

    To get it done the CAPTRUST Way, an individual should exhibit the following characteristics :

  • Ability to build successful, collaborative, and trusting relationships
  • Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
  • A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
  • Inherent desire to give back to our communities and enrich the lives of those around us
  • An other-centered mindset
  • Integrity through maintaining objectivity
  • EEO / Diversity Statement :

    At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.

    CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #Mid-Senior