Compliance Manager

4 days ago


Charlotte, North Carolina, United States Robert Half Full time $125,000 - $150,000 per year


Compliance Manager Opportunity – Career Growth Awaits

Are you a passionate compliance professional seeking a career where strategic leadership meets cutting-edge regulatory expertise? We're looking for a
Compliance Manager
to lead and shape the compliance program for an SEC-registered investment adviser. This is your chance to not only make an impact but also build toward a clear
path to becoming a Chief Compliance Officer (CCO)


Compensation Highlights:

Competitive salary paired with a
bonus target of 25-30%


Carried interest on future funds
for long-term financial growth

Robust benefits package to support your success

Relocation reimbursement if needed


What You'll Do:

Oversee the compliance program, ensuring it evolves with regulatory landscapes

Manage compliance records for pre-clearance approvals, marketing reviews, and fundraising regulations

Collaborate with external advisers and internal teams to ensure adherence to SEC regulations

Prepare for SEC audits, annual compliance reviews, and monitor financial rules like AI, cybersecurity, and AML

Work closely with Finance and Accounting teams on reporting requirements


Why This Role is a Game-Changer:

  • Guided
    career growth
    with mentorship from the General Counsel & Chief Compliance Officer
  • Exposure to diverse aspects of compliance, from insider trading rules to global fundraising requirements
  • Opportunity to master tools like FINRA IARD and regulatory filings like Form ADV and Form PF


You'll Thrive Here If You Have:

  • 5+ years' experience in compliance or regulatory roles within the financial services sector
  • Deep understanding of financial regulations, including the Advisers Act, insider trading and anti-bribery compliance
  • Experience navigating SEC audits and communicating with regulators
  • Familiarity with tools like
    ComplySci
    and FINRA IARD
  • Expertise in private equity, fund management, and/or real estate (preferred)


Education:

  • Bachelor's degree required; advanced certifications in regulatory compliance are a plus

Ready to elevate your career and unlock growth opportunities? Take the next step toward becoming a CCO while fueling your passion for compliance and regulation.


Apply Now to the Compliance Manager position

ComplianceCareer #LeadershipOpportunities #FinancialServicesJobs #RobertHalf #CareerGrowth #ManagerRole
  • Compliance Manager

    3 days ago


    Charlotte, North Carolina, United States Riverstone Logistics Full time $80,000 - $110,000 per year

    Company Overview Riverstone Logistics (RLX) is committed to being an honest, reliable, dependable freight forwarding partner. Every day we are focused on fulfilling our Purpose of using our God-given talents and opportunities to love our neighbors, serve our communities, and improve our industry.RLX provides final mile deliveries through dedicated and...


  • Charlotte, North Carolina, United States Good Life Companies Full time $60,000 - $120,000 per year

    About Good Life Good Life Companies is a fast-growing, independent RIA platform that empowers financial advisors to achieve true independence and long-term success. We provide the education, tools, and ongoing support advisors need to build, manage, and grow thriving independent practices—so they can focus on what matters most: serving clients, growing...

  • Compliance Analyst

    2 days ago


    Charlotte, North Carolina, United States Dimensional Fund Advisors Full time $60,000 - $120,000 per year

    Notes To ApplicantsDimensional sees great value from collaborating in our offices and appreciates the benefits of flexibility. Most roles fit our office-first hybrid approach: We are together on our campuses Tuesdays, Wednesdays, and Thursdays and have the choice to work in the office or remotely, depending on what is best for that work day, on Mondays and...


  • Charlotte, North Carolina, United States LHH Full time $60,000 - $100,000 per year

    Finance Compliance AccountantCharlotte, NCFull-Time | Individual Contributor RoleAre you a detail-oriented finance professional with a passion for compliance and operational excellence? Our client is seeking an experiencedFinance Compliance Accountantto join their team at our Americas Regional Headquarters in Charlotte, NC. This is a critical individual...


  • Charlotte, North Carolina, United States Moody's Full time $82,000 - $119,450 per year

    At Moody's, we unite the brightest minds to turn today's risks into tomorrow's opportunities. We do this by striving to create an inclusive environment where everyone feels welcome to be who they are—with the freedom to exchange ideas, think innovatively, and listen to each other and customers in meaningful ways. Moody's is transforming how the world sees...


  • Charlotte, North Carolina, United States Nucor Full time $80,000 - $120,000 per year

    Job DetailsDivision: Nucor CorporationLocation: Charlotte, NC, United States  Other Available Locations: N/AWelcome to Nucor, where our unique culture sets us apart. Joining Nucor means becoming part of North America's largest steel and steel products manufacturer, offering unmatched career opportunities and stability. We are known for our innovative...


  • Charlotte, North Carolina, United States Forvis Mazars Full time $65,000 - $85,000 per year

    Requisition Number2235897Description & RequirementsThe Associate of Compliance, Client Contracts plays a vital role in supporting client contract compliance and risk management across Consulting engagements. Reporting to the Manager of Compliance, Client Contracts, this individual helps ensure that client engagements are executed in alignment with...


  • Charlotte, North Carolina, United States Global Channel Management Full time $120,000 - $180,000 per year

    Lead Systems Compliance Analyst needs Minimum of 2-3 years experience managing Electronic Communications data integrations Lead Systems Compliance Analyst requires: Iselin, NJ; Charlotte, NC Hybrid role Experience with Compliance technology systems related to Electronics Communications Surveillance Experience operating as Product Owner for a Team to...


  • Charlotte, North Carolina, United States Industrial Compliance & Safety Full time $80,000 - $95,000 per year

    Corporate Accounting DirectorLocation: Charlotte, NC (Hybrid); 3 weeks per month remote, 1 week in officeJob Type: Full-Time, Salary Exempt | Reports directly to the President & CEOFirst Alliance Logistics Management (FALM) is a leading national pallet solutions provider with a network of over 225 service centers across the United States. We also operate...


  • Charlotte, North Carolina, United States Modern Construction and Facilities Maintenance Full time $65,000 - $75,000 per year

    Modern Construction Services specializes in the renovation and commercial construction of warehouses, distribution, retail, business offices, restaurant, and healthcare related properties.The Compliance & Contracts Administrator plays a critical role in ensuring the company's operational readiness across multiple states by managing contract administration,...