Compliance Manager jobs in Raleigh, NC

Compliance Manager manages the compliance programs, policies, reporting, and practices for an organization or business. Ensures that all activities follow regulatory requirements related to the governance of the organization as well as any industry-specific or location-specific laws. Being a Compliance Manager oversees internal controls and auditing systems that monitor and report on regulated activities and processes. Implements risk-based compliance testing of existing procedures and controls to identify, detect, and correct noncompliance. Additionally, Compliance Manager evaluates and implements changes to compliance processes due to new or amended regulations. Delivers communication and training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree or equivalent. Typically reports to a director. The Compliance Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. To be a Compliance Manager typically requires 5 years experience in the related area as an individual contributor. 1 - 3 years supervisory experience may be required. Extensive knowledge of the function and department processes. (Copyright 2024 Salary.com)

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Compliance Analyst
  • Fairview Compliance Services
  • Raleigh, NC FULL_TIME
  • Description

    Company Description

    The Compliance Analyst role supports the team with compliance testing, risk assessment and documentation and implementation of the client’s compliance program. The compliance group helps maintain policies and procedures, disclosures, SEC filings, and facilitates the implementation of new regulations enforced by the SEC. Successful candidates can interpret the rules to provide internal expertise in handling compliance testing and producing compliance reports for investment adviser clients. Key duties and skills:

    Key duties and skills:

    • Detailed oriented, analytical, comfortable using technology tools to accomplish duties and have an interest in learning new regulations related to registered investment advisers
    • Collaborating with colleagues to complete compliance testing of policies and procedures, assessing the adviser’s compliance program and preparing regulatory filings
    • Collaborating with colleagues to manage and analyze financial data
    • Provide organizational support for colleagues to prepare and respond to regulatory requests
    • Preparing client call agendas and assisting colleagues with follow ups
    • Report preparation and supporting relationship managers in client service functions
    • Multitasking and managing multiple projects within tight deadlines
    • Provides peer training support to Compliance Associates and Compliance Support

    Requirements

    Qualifications

    • Undergraduate degree.
    • Minimum 3 years of office work experience.
    • Be able to demonstrate outstanding analytical and organizational skills.
    • Strong competency in Microsoft Excel.  
    • Excellent client service and internal team coordination skills.
    • Ability to collaborate closely with stakeholders from different disciplines, Fairview colleagues, and within a team.
    • Must submit to a background check.

    Working at Fairview Compliance Services

    At Fairview®, we understand that our employees are our greatest assets. That’s why we offer competitive salaries, excellent career opportunity and a rich competitive benefits package: including 100% health care coverage for full-time employees AND dependents, as well as dental, vision and life insurance, a 401(k) with a match and generous paid time off. 

    All employees get the full experience – including a collaborative and supportive work environment, professional development opportunities and companies who truly care about their employees, services and clients. And we take pride in our diverse workforce, because we know that our differences make us stronger. 

    Fairview is based in Raleigh, NC, which is consistently ranked on U.S. News & World Report’s annual list as one of the Best Places to Live. 


    What makes us different

    • 100% employee-owned 
    • Rich benefits package including 100% health care coverage for full-time employees AND dependents
    • Competitive salaries  
    • Ample professional development opportunities 
    • Collaborative, diverse team 


    EEO Statement

    Fairview, LLC. and / or each of its affiliated persons and entities (together referred to herein as the “Company”) provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws. In addition to federal law requirements, Fairview, LLC. complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities. This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.


  • 8 Days Ago

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Compliance Associate
  • Fairview Compliance Services
  • Raleigh, NC FULL_TIME
  • DescriptionCompany DescriptionViewPoint Partners and its affiliates, including Fairview Compliance Services, were founded with a mission of providing outstanding customer service to advisory firms. Gr...
  • 12 Days Ago

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Compliance Inspector
  • 7G Environmental Compliance Management
  • Raleigh, NC FULL_TIME
  • Our CompanyAt 7G, we're the go-to partner for petroleum tank owners across the country. We tackle environmental challenges while consistently keeping things compliant. Our values are simple: excellenc...
  • 2 Months Ago

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Compliance Operations Associate
  • Fairview Compliance Services
  • Raleigh, NC FULL_TIME
  • DescriptionWhy Fairview Compliance Services?At Fairview Compliance Services, our strength lies in our people and in our client relationships. Our clients are primarily investment advisers who are regi...
  • 15 Days Ago

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Computer Compliance Audit Manager
  • GlaxoSmithKline
  • Durham, NC FULL_TIME
  • Site Name: Durham Blackwell StreetPosted Date: Mar 1 2024Are you an experienced Computer Compliance Quality Assurance Professional looking for a challenging opportunity to leverage your expertise to a...
  • 23 Days Ago

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Environmental Compliance Manager
  • Circle K
  • Raleigh, NC FULL_TIME
  • Essential Functions:Manages, develops, trains, and supports staff within assigned geographic area of responsibility. Implements environmental polices and procedures to achieve core objectives and comp...
  • Just Posted

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0 Compliance Manager jobs found in Raleigh, NC area

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Church Office Administrator
  • Christus Victor Lutheran Church
  • Durham, NC
  • Job Description Job Description 10-15 hours/week Join our team as an Office Administrator at God's House! This part-time...
  • 3/28/2024 12:00:00 AM

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Office Administrator
  • McGill Associates, P.A.
  • Raleigh, NC
  • Job Description Job Description McGill is a civil engineering firm fostering long-term relationships with the communitie...
  • 3/27/2024 12:00:00 AM

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Clinical Research Coordinator
  • Duke University
  • Durham, NC
  • School of Medicine Established in 1930, Duke University School of Medicine is the youngest of the nation's top medical s...
  • 3/27/2024 12:00:00 AM

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Office Administrative Position
  • Blue Sky Farms
  • Wendell, NC
  • Job Description Job Description Full Time Office Administrative For a Farm/Produce Company in Wendell, NC M-F 9:00 am to...
  • 3/25/2024 12:00:00 AM

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Director of Re-Refineries Compliance
  • Clean Harbors, Inc.
  • Raleigh, NC
  • The Director of Re-Refineries Compliance manages compliance and staff for a specific area of operations. Oversee the wor...
  • 3/24/2024 12:00:00 AM

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Branch Office Administrator
  • Edward Jones
  • Apex, NC
  • Would you call yourself a relationship builder, a problem solver or a critical thinker? If you answered yes, we need you...
  • 3/14/2024 12:00:00 AM

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Branch Office Administrator
  • Edward Jones
  • Cary, NC
  • Would you call yourself a relationship builder, a problem solver or a critical thinker? If you answered yes, we need you...
  • 3/11/2024 12:00:00 AM

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Branch Office Administrator
  • Edward Jones
  • Pittsboro, NC
  • Would you call yourself a relationship builder, a problem solver or a critical thinker? If you answered yes, we need you...
  • 2/23/2024 12:00:00 AM

According to the United States Census Bureau, Raleigh occupies a total area of 144.0 square miles (373.0 km2), of which 142 square miles (369 km2) is land and 0.97 square miles (2.5 km2), or 0.76%, is covered by water. The Neuse River flows through the northeast end of the city. Raleigh is located in the northeast central region of North Carolina, where the Piedmont and Atlantic Coastal Plain regions meet. This area is known as the "fall line" because it marks the elevation inland at which waterfalls begin to appear in creeks and rivers. As a result, most of Raleigh features gently rolling hil...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Manager jobs
$116,467 to $159,537
Raleigh, North Carolina area prices
were up 1.5% from a year ago

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