Compliance Associate: Protect & Streamline Advisory
Listed on 2026-10-06
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Business
Regulatory Compliance Specialist
Social Capital Resources is seeking a Compliance Associate/Sr. Associate for a full-time role in the Charlotte Metro area. This position focuses on enhancing the firm’s compliance program through the review of marketing and regulatory submissions, advising on policy adherence, and conducting compliance investigations.
The ideal candidate will have 2-8 years of relevant experience, preferably in independent advisor support. Knowledge of the Investment Advisors Act of 1940 is essential, and familiarity with ORION Compliance or similar systems is a plus.
This is an excellent role to take on the Compliance Associate:
Protect & Streamline Advisory Growth role at Social Capital Resources.
The position is based in Charlotte, NC, United States.
This opportunity is part of our work in Management & Operations.
The advertised compensation is 70.000 - 90.000.
We aim to respond to suitable candidates as soon as possible.
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