Investment Adviser Investment Management Attorney Jobs in North Carolina

... 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 ..

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 ..

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 ..

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, ..

... 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..