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US Bank
Charlotte, NC, United States
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you
Job Source: US BankDiscovery Education Talent Team
Charlotte, NC, United States
To assist our Business Operations teams, Discovery Education is seeking a Compliance Associate to process our domestic and international direct and third-party sales . The team members will ensure compliance with internal and external regulations and provide follow-up and oversight to ensure an accurate and efficient ordering process. This perso
Job Source: Discovery Education Talent TeamStepStone Group
Charlotte
Job Description Job Description StepStone is a rapidly growing Global Private Markets firm who provides customized investment and advisory solutions to some of the most sophisticated investors in the world. With $640 billion of total capital allocations, including $143 billion in AUM, we are highly diversified in the private markets across the g
Job Source: StepStone GroupChoreo
Charlotte
Job Description Job Description At Choreo, we are passionate about improving the well-being of our clients, their families, our teammates, and everyone in our communities. For over 20 years, we've worked to meet the financial planning needs of our clients with a coast-to-coast footprint of 40+ locations and counting. Empowered by technology and
Job Source: ChoreoLarson Maddox
Charlotte, NC, United States
A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Senior Compliance Associate! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the office. The Senior Complia
Job Source: Larson MaddoxSelby Jennings
Charlotte, NC, United States
An established Private Equity firm is seeking a Private Equity Associate to join their team. This firm has a unique strategy and allows the opportunity to learn across various sectors. Joining a lean team, you'll have the chance to gain exceptional mentorship. This is a great long-term growth opportunity for one who is looking to make the transitio
Job Source: Selby Jennings5 Legal
Charlotte
Job Description Job Description Top AmLaw 100 law firm seeks an associate to join their Private Funds Group. Candidates should have a minimum of 3-5 years of experience in representing established and new fund sponsors in the formation of private investment funds, separate accounts, and other investment vehicles. Candidates with experience in jo
Job Source: 5 LegalBlue Ridge Construction Capital
Charlotte, NC, United States
Job Title: Private Equity AssociateCompany: Blue Ridge Construction Capital (BRCC)Locations: Charlotte, NC About Blue Ridge Construction Capital:Join our dynamic team at Blue Ridge Construction Capital, a rapidly growing private equity firm with a keen focus on the building products sector. Based out of Charlotte and Dallas, BRCC leverages deep
Job Source: Blue Ridge Construction CapitalCharlotte, NC, United States
Compliance Associate - Private Wealth/Investment Management
Charlotte NC - 3 day in office hybrid schedule
Attractive compensation package + Excellent benefits
Our client is a rapidly growing private markets firm who provides customized investment and advisory solutions to a global clientele.
The Compliance Associate will assist with the administering of the compliance program for funds registered under the Investment Company Act of 1940 (“40 Act”).
ABBREVIATED LIST OF RESPONSIBILITIES:
Prepare board materials and quarterly board reports
Assist with review of deals for compliance with 40 Act restrictions
Assist with the 40 Act compliance monitoring and testing program
EDUCATION AND/OR WORK REQUIREMENTS:
Bachelor’s degree or relevant experience
Minimum of 4 years of compliance or regulatory experience with a financial institution
Exposure to the federal securities laws with extensive exposure to the Investment Company Act of 1940 preferred
Knowledge of investment products, financial markets, and investment concepts
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Compliance Associate - Private Wealth jobs in Charlotte, NC, United States
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