Compliance Manager jobs in North Carolina

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 Inspector
  • 7G Environmental Compliance Management
  • Greensboro, 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 Manager
  • Fairstead Management LLC
  • Charlotte, NC FULL_TIME
  • Description: Fairstead is seeking a Compliance Manager to join our on-site property management team. In this role, the Compliance Manager is responsible for maintaining compliance with the Housing Aut...
  • 18 Days Ago

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Compliance Manager
  • City of Fayetteville, NC
  • Fayetteville, NC FULL_TIME
  • Description Hiring Range: $52,488 - $66,922/Year D.O.Q. INCOMPLETE APPLICATIONS WILL NOT BE PROCESSED. A RESUME WILL NOT BE CONSIDERED IN DETERMINING YOUR QUALIFICATIONS FOR THIS POSITION. The City of...
  • Just Posted

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IT Compliance Manager
  • Kharon
  • Los Angeles, CA
  • TL;DR Kharon is seeking a full-time, GRC Program Manager. Responsibilities: Lead and manage Kharon's InfoSec GRC program...
  • 3/28/2024 12:00:00 AM

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Compliance Manager
  • Chapman Management Group
  • Washington, DC
  • Job Description Job Description Benefits: Competitive salary Dental insurance Health insurance Paid time off Vision insu...
  • 3/28/2024 12:00:00 AM

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Compliance Manager
  • Harding Shymanski
  • Evansville, IN
  • Job Description Job Description Seeking an experienced Internal Auditor/Compliance Manager with 4-8 years of regulatory ...
  • 3/25/2024 12:00:00 AM

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Compliance Manager
  • Apartment Management Consultants, LLC
  • West Palm Beach, FL
  • We are currently seeking a Compliance Manager! The Compliance Manager is responsible for ensuring compliance in Low-Inco...
  • 3/25/2024 12:00:00 AM

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Compliance Manager
  • eTeam
  • New York, NY
  • Job Title: Compliance Officer/Compliance Manager Duration: 09+ Months + High possibility of extension Location: New York...
  • 3/24/2024 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Arlington, VA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Mc Lean, VA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

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Compliance Management Officer
  • NTT DATA
  • Req ID: 261638 NTT DATA Services strives to hire exceptional, innovative and passionate individuals who want to grow wit...
  • 11/27/2023 12:00:00 AM

North Carolina (/ˌkærəˈlaɪnə/ (listen)) is a state in the southeastern region of the United States. It borders South Carolina and Georgia to the south, Tennessee to the west, Virginia to the north, and the Atlantic Ocean to the east. North Carolina is the 28th-most extensive and the 9th-most populous of the U.S. states. The state is divided into 100 counties. The capital is Raleigh, which along with Durham and Chapel Hill is home to the largest research park in the United States (Research Triangle Park). The most populous municipality is Charlotte, which is the second-largest banking center in...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Manager jobs
$114,710 to $157,131

Compliance Manager in Asheville, NC
Usually, compliance managers develop and implement control systems for dealing with violations of compliance guidelines and policies.
February 09, 2020
Compliance Manager in Binghamton, NY
Compliance managers should have great leadership capabilities with the natural ability to solve serious problems.
December 17, 2019
Compliance Manager in Springfield, OR
Given the increasing volume of work, it’s no surprise that compliance manager salaries are on the rise.
December 22, 2019