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Regulatory Compliance Specialist Financial Services

Senior Compliance Specialist – Investment Advisory

Job in Raleigh, Wake County, North Carolina, 27601, USA
Listing for: CAPTRUST
Full Time position
Listed on 2026-02-01
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A leading investment advisory firm is seeking a Compliance Senior Associate to implement the compliance program, drive regulatory adherence, and support operations. You will coordinate compliance testing, assist with Code of Ethics, and collaborate within a compliance team. Ideal candidates have 3-5 years in compliance roles, high ethical standards, and strong Excel and communication skills. This position is based in Raleigh, North Carolina, requiring in-office presence.
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Position Requirements
10+ Years work experience
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