Regulatory Compliance Legal Secretary Jobs in Raleigh

Senior Compliance Associate The candidate exists to ... consistent with SEC and/or state regulatory requirements and best practices. Working ... with colleagues with transactions and regulatory issues. Researching and compiling..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

... key member of the distribution legal team. Will address full range ... with senior business leaders. Providing legal and regulatory advice and counsel to the ... Federal and State..