Investment Adviser Investment Management Attorney Jobs in Charlotte

... Consultant 5 - Fiduciary and Investment Management Compliance The candidate will be ... for conducting regulatory compliance risk management oversight for high and moderate ... and risk topics including..

Winston & Strawn is looking for an associate in its Charlotte, Chicago, Dallas, Houston or New York office with 3 - 5 years of significant experience in private equity fund ..

... teams responsible for regulatory change management and rule tracking, enterprise policy ... enterprise policy governance and policy management, compliance training and continuing education, ... responsible for overall compliance program..

Job OverviewA law firm seeks an Investment Funds Mid-Level Associate for their Charlotte, NC office. The ideal candidate will have 4-6 years of experience in private equity fund formation and related ..

Compliance Monitoring and Analytics Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team responsible ..

... teams responsible for regulatory change management and rule tracking, enterprise policy ... enterprise policy governance and policy management, compliance training and continuing education, ... responsible for overall compliance program..

SVP, Compliance Monitoring and Analytics Responsibilities: Lead the team responsible for broker dealer and investment adviser surveillance and monitoring activities. Lead the team responsible for branch office examinations. Lead the team ..