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Regulatory Compliance Specialist

Senior Compliance Monitoring & Testing Lead

Job in Charlotte, Mecklenburg County, North Carolina, 28245, USA
Listing for: Vanguard
Full Time position
Listed on 2026-02-05
Job specializations:
  • Management
    Regulatory Compliance Specialist
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A financial services company located in Charlotte, NC is seeking a Compliance Manager to oversee regulatory compliance and lead a team. The ideal candidate will have a minimum of five years of related experience, supervisory skills, and regulatory licenses Series 7 and 24. Responsibilities include managing team performance, conducting testing and inspections, and preparing reports with recommendations. This hybrid role will support compliance across various business areas, ensuring adherence to regulations and policies.
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Position Requirements
10+ Years work experience
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