SVP Financial Advisory Services Compliance
HybridRaleigh, North Carolina, United States
Job Summary
Lead compliance programs for SECU's Financial Advisory Services, serving as Chief Compliance Officer for a Registered Investment Adviser, Broker-Dealer, and Life Insurance Company. Develop policies, review marketing materials, and coordinate regulatory filings while managing branch audits and AML oversight. Coordinate regulatory examinations, oversee remediation tracking, and design data analytics to deliver compliance insights. Liaise with business lines, Legal Services, and Audit Services, reporting directly to Boards of Directors and the executive Compliance Committee. Provide relevant training to leadership and facilitate handling of escalated issues across investment business areas.
Required Qualifications
- Bachelor's Degree
- FINRA Series 7
- FINRA Series 24
- FINRA Series 65
- ability to obtain Series 7, 24, or 65
- 7 years' experience in compliance, regulatory, or risk management within financial services
- experience supporting or leading compliance programs for regulated entities within a multi-entity organizational structure
- Hybrid Schedule
- willingness to commute to office located in Raleigh, NC
- occasional need for travel, including overnight, within the state of North Carolina
Desired Qualifications
- Advanced degree
- professional certifications (J.D., CRCM, ACAMs)
- NC Insurance licenses
- CFP
- CAMS
- CRCP
- 10+ years' experience in compliance, regulatory, or risk management within financial services
- experience specifically includes affiliated registered investment adviser, broker dealer, and bank or credit union
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