Senior Manager, Compliance Officer
Job in
Wilmington, New Hanover County, North Carolina, 28412, USA
Listed on 2026-07-14
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-14
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
Responsibilities
- Implements broader planning for business unit compliance programs
- Manages large projects and processes to identify, investigate, and report compliance risks
- Develops and implements preventative measures and compliance processes
- Oversees compliance risk assessments
- Conducts complex investigations in response to complaints and/or potential violations of rules, regulations, policies and procedures
- 5+ years of Risk and/or Compliance experience in financial services
- Knowledge of regulatory requirements that pertain to registered investment advisers (RIAs) and broker-dealers
- Strong writing skills; previous experience drafting and maintaining compliance policies, SOPs, and written supervisory procedures
- Prior experience overseeing compliance programs for dual-registered broker-dealer and investment advisers
- Prior experience interfacing with regulators and responding to regulatory inquiries and exams
Position Requirements
10+ Years
work experience
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×