Location: Asheville, North Carolina, us
Job Summary:
Job Duties
- Oversee and lead compliance teams.
- Develop and enhance regulatory compliance programs.
- Manage regulatory risk assessments and issue tracking.
- Coordinate updates to compliance policies and procedures.
- Support regulatory change processes and centralized issues management.
Required Skills (Keywords)
- Regulatory compliance
- Strong knowledge of securities laws
- Leadership
- Communication skills
- Analytical skills
- Client service
- Time management
- Proficiency in Word, Excel, PowerPoint
Required Experiences (Topics)
- Bachelor's degree or equivalent experience
- 5-7 years in compliance, preferably with US broker-dealer or regulator
- Familiarity with major regulatory bodies (e.g., SEC, FINRA)
Job URLs: