Compliance Jobs

Senior Compliance Associate, Registered Investment Advisor, Charlotte, NC

By June 13, 2022 No Comments

Why Join Us:
We are an innovative and fast-paced Registered Investment Adviser (RIA) firm offering multi-disciplined institutional asset management, financial planning, sales and marketing, training, technology, and first-class support to a national base of Financial Advisors.

As we continue to serve the growing needs of our Financial Advisors including regulatory compliance oversight, we have an opportunity for a highly skilled professional to join our Compliance Team.

What to Expect:
The Senior Compliance Associate will report to the CCO/General Counsel and have day-to-day responsibility for a variety of compliance related activities. This individual is entrepreneurial and confident with impeccable communication and organizing skills. Must be a critical thinker and creative problem solver who is comfortable in both self-directed and team-oriented environments.

• Demonstrate substantial knowledge of the Investment Advisers Act of 1940 as applied to investment advisory offerings and programs, including the Rule 206(4)-7 compliance program.
• Assist with the development of the annual compliance monitoring and inspection program.
• Test compliance controls and identify potential gaps.
• Taking initiative to identify risk and recommend and implement creative solutions.
• Draft and revise standard operating procedures for new and existing compliance controls.
• Develop and participate in the compliance training presentations.
• Establish and maintain a strong relationship with peers, managers, and business partners.
• Provide Financial Advisors with guidance related to a compliance policies and procedures.
• Improve the culture of compliance by providing guidance, training, and positive reinforcement.
• Handle one-off / special projects as the need arises.

• Bachelor’s degree from an accredited college or university (required).
• JD or compliance certifications (preferred).
• 3-7 years of experience working in regulatory compliance or legal related roles.
• Experience with compliance risk assessment.
• Strategic thinker with sharp analytical skills and strong attention to detail and accuracy.
• Strong verbal and written communication skills, with the ability to effectively articulate complex ideas in a clear and concise manner at all levels of the organization.
• Dynamic and engaging professional with entrepreneurial spirit (startup experience preferred)
• Management/Leadership experience (preferred).
• Experience with fintech, trading, advertising & social media review (SEC or FINRA rules).

Qualified professionals are to submit resumes to Jessica Simpson at

Published by Conselium Executive Search, the global leader in compliance search.  

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