Investment Adviser Investment Management Attorney Jobs in Raleigh

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, ..