Compliance Associate

Raleigh, NC | Direct Hire

Post Date: 08/03/2017 Job ID: 11957 Industry: Compliance Analyst
Chat with me now! -

The Opportunity:   


Our Client is currently seeking a Compliance Associate to join their team in Raleigh, North Carolina.  


In this role, you will partner with employees across the organization to enhance and implement compliance procedures.  You will report to the General Counsel & Chief Compliance Officer.  




Monitoring of real-time,  company-wide compliance program  

Monitoring of daily compliance reports  

Maintaining day-to-day operations of the Compliance Department  

Training of staff regarding compliance procedures  

Interacting with technology department to enhance compliance program   

Reviewing marketing and other externally-facing materials  

Performing quarterly Compliance Department internal audit  

Other projects as assigned  




Bachelor’s degree or equivalent  

1-3 years of relevant work experience (investment management compliance or internal audit responsibilities are a plus)  

Excellent communication skills and the ability to present effectively both verbally and in writing   

Ability to multi-task and work independently in a fast-paced environment   

Ability to adapt quickly to changing priorities  

Detail and process-oriented  

Strong understanding of the financial markets and primary research process  

Sound judgment and analytical skills  

Chat with me now! -

Sean Brett

Not ready to apply?

Send an email reminder to:

Share This Job:

Related Jobs: