Financial Investments Services Associate Jobs in Raleigh

Legal And Compliance Counsel The candidate will be responsible for: Monitor, review and evaluate compliance issues/concerns within the Credit Union to ensure they are being appropriately investigated and resolved. Draft, review ..

Senior Compliance Associate The candidate exists to help protect sales from risk by monitoring client-regulation and implementing a range of controls to ensure rules are being followed. The role includes: Establishing ..

Manager Compliance, Personal Securities Trading The candidate will lead, coach and develop onshore and offshore teams. Support department audits and exams. Oversee all day-to-day operations which consist of reviewing compliance reports, ..

Vice President, Corporate Counsel, Retail Advice and Solutions The candidate will be providing thought leadership and support as a key member of the distribution legal team. Will address full range of ..