RIA Compliance Analyst - Marketing & Controls
CAPTRUST
A respected financial services firm in Charlotte seeks a Compliance Analyst to uphold compliance standards within marketing and advertising practices. The role involves reviewing materials, collaborating with teams for compliance, and providing guidance based on regulatory requirements. Ideally, candidates have 4-7 years of experience in investment advisory settings and a sound understanding of the relevant laws. The position promises a collaborative culture and opportunities for growth. #J-18808-Ljbffr CAPTRUST
Vacancy posted 5 days ago
Similar jobs that could be interesting for youBased on the RIA Compliance Analyst - Marketing & Controls in Charlotte, NC vacancy
$160k - $180k
Overview We are global private markets specialists delivering tailored investment solutions... ...our clients need to succeed. The Fund Controller, Fund Accounting - CFO & Structured... ...analysis of tax matters Support for the Compliance team, including preparation of materials...SuggestedWork experience placementWork at office$90k - $110k
Apex Group is seeking an Assistant Fund Controller in Charlotte, NC. This full-time role involves leading client relationships, managing fund accounting processes, and ensuring timely, accurate delivery of services. The ideal candidate will have 5-8 years of experience...SuggestedFull time- ...Senior Investment Portfolio Control Consultant Wells Fargo is... ...economics Chartered Financial Analyst (CFA) designation or... ...hybrid work schedule Specific compliance policies may apply regarding... ...applicable risk programs (Credit, Market, Financial Crimes,...SuggestedWork experience placementWork at office
- ...Controlled Information Compliance Specialist Come Build Your Career at Aecon! Aecon delivers some of the most complex and impactful infrastructure projects — from transformative transportation networks to critical energy, industrial and nuclear programs. The projects...SuggestedContract workWork at office
Aecon Group Inc.
Charlotte, NC4 days ago $90k - $110k
You can find out more about this in ourAssistant Fund Controller page is loaded## Assistant Fund Controllerlocations: Charlottetime type:... ...and tech enabled service. Bringing new products and services to market. Sharpening our client focus. Disrupting the market to exceed...SuggestedWork at officeWorldwide$160k - $180k
A leading investment advisory firm in Charlotte is looking for a Fund Controller to manage accounting and financial reporting for various investment vehicles. This role requires overseeing a team and collaborating with multiple departments to ensure accurate financial...$107.12k - $160.68k
...Credit Bureau Delivery Lead Analyst is part of the Audience & Data... ...pillar Citi's US Personal Banking Marketing & Franchise Development... ...clients and assets, by driving compliance with applicable laws, rules... ...escalating, managing and reporting control issues with transparency....Work at office$46.75k - $57.27k
Regions Bank is looking for a Business Unit Quality Control Specialist in Charlotte, North Carolina. The role involves ensuring quality control oversight, reviewing business activities for compliance with regulations, and maintaining proper documentation. Candidates should...Full timeWork at office- The Brightway Credit Card team is looking for a Risk and Control Operations Manager to strengthen our operational risk framework, drive... .... This role partners closely with business, operations, compliance, and technology teams to ensure a strong control environment and...Work at officeLocal area
$126.82k - $149.2k
...in their assigned Line of Business, Risk/Compliance/Audit (RCA) Consultants, and other RCA... ...Finance and Investment Grade Debt Capital Markets and Syndicate, Loan Capital Markets,... ...services, systems, and associated risks/controls. Thorough knowledge of Risk/Compliance/Audit...Temporary workWork experience placementWork at officeLocal areaRemote workFlexible hours3 days per week- ...As a result of our phenomenal growth, MSS Solutions, LLC has an opening for an Estimator - Controls . If you are an experienced professional who is looking to grow your career and contribute fresh and innovative ideas to serve our customers, this is an opportunity...Contract workTemporary workFor subcontractorWork at officeTrial periodRelocation packageFlexible hours
MSS Solutions, LLC
Charlotte, NC4 days ago - Description Location: On site at location listed in job posting. Summary The Market Investor CR Credit Analyst, Sr (CA Sr.) t will work directly with the Market Investor Commercial Real Estate Portfolio Management team and will be expected to provide high level credit...Work experience placementWork at office
$95k - $110k
Job Description The Manager - Portfolio Marketing brings experience in brand storytelling, digital marketing, and content development.... ...marketing and client service professionals as well as appropriate compliance reviews. Campaign Development and Management Work with...Work at office- A leading solutions provider based in Charlotte seeks an experienced Estimator - Controls to support the HVAC industry. You will be involved in estimating and bidding processes, requiring a strong understanding of blueprints and construction plans. The ideal candidate...
- ...responsibly, move quickly, and deliver consistently across Sales, Marketing, and Operations. This role is foundational to that effort.... ...accounting function as the business grows. Reporting to our Controller, this person will focus on developing cost accounting processes...
- eagle Controls is seeking qualified professionals to join our Controls team . eagle Controls... ...user-friendly automation systems in the market. eagle designs, builds, programs and... ...limitless. Equal Opportunity Employer (EOE) In compliance with Federal and State equal employment...For subcontractorWork at office
- ...Compliance Analyst This role supports enterprise technology governance by coordinating architecture reviews, supporting risk and compliance processes, tracking and enforcing IT controls, and enabling clear communication across technology, risk, and business stakeholders...
eTeam
Charlotte, NC4 days ago - ...competitive pay and benefits. This is the third level of the Compliance Analyst classification hierarchy, with a specialty in IRA compliance... ...knowledge of compliance policy, standards, processes, controls, and functional areas. Competent in the use of compliance...For contractorsWork experience placementWork at officeRemote workVisa sponsorshipRelocation package
Duke Energy
Charlotte, NC10 hours ago $45.3k - $95.6k
C.H. Robinson is seeking an Export Compliance Analyst to help protect and strengthen our global sanctions compliance program. In this role, you will support critical Office of Foreign Assets Control (OFAC) compliance and Denied Party Screening activities, review potential...Hourly payContract workTemporary workWork at officeRemote workWorldwideFlexible hoursC.H. Robinson
Charlotte, NC3 days ago$36.69 - $43.69 per hour
...Genesis10 is currently seeking a Compliance Analyst - Hybrid position with a Major Financial Institution... ...~ Strong knowledge of IT processes and controls, including vulnerability management,... ...Fortune 100 firms and a variety of mid-market organizations across the full spectrum...Hourly payPermanent employmentContract workGenesis10
Charlotte, NC4 days ago- ...Compliance Analyst CAPTRUST is seeking a Compliance Analyst to join our... ...registered investment advisor (RIA) and registered broker-... ...requirements applicable to marketing and advertising materials and... ...of policies, procedures and controls. The ideal candidate would like...Temporary workLocal areaImmediate startFlexible hours
CAPTRUST
Charlotte, NC4 days ago $143.32k - $273.93k
...The Opportunity As a dedicated Internal Controls Financial Reporting Advisor Lead you will... ...controlled in accordance with risk and compliance policies and procedures. What you have:... ...has an effective process for assessing market data and establishing ranges to ensure we...Full timeWork experience placementH1bWork at officeRemote workRelocation packageFlexible hours- ...various stakeholders and team members as required.The Financial Controls team is a newly established function within the AMCB Finance... ...enhance the effectiveness of financial controls, ensuring accuracy, compliance, and risk mitigation across the bank’s financial reporting and...Work at officeLocal areaWork from homeFlexible hours
- ...Description Job Description Resilience360 Advisory - Job Posting #369 Position: Project Manager – Transportation, Risk & Program Controls Status: 1099 Contract Location: Charlotte, NC Salary: Based on Experience Travel: Up to 25% Regionally *...Contract workFor subcontractorLive in
Resilience360 Advisory
Charlotte, NC12 days ago - ...designation preferred* ### Experience leading recurring risk and control programs e.g., RCSA/pRCSA cycles, risk profile, issues... ...issues where appropriate* Ensures business operations are in compliance with applicable internal and external requirements (e.g. financial...
$132.65k - $182.39k
...Worldwide Cost Controller Ocs Date: May 2, 2026 Location: Charlotte, NC, US, 28216 Company: Corning Requisition Number: 7423... ...electronics, optical communications, display, automotive, and solar markets. We are changing the world with: trusted products that...Full timeWorldwide- ...Cost And Inventory Control Accountant Orbia Advance Corporation is a purpose-led company with big aspirations. We are out to advance life around the world while maximizing value to our shareholders, customers, and employees. The company is passionate about the topics...
- A global professional services firm is seeking candidates to support their Capital Markets team in Charlotte. This role involves assisting clients by analyzing their capital markets businesses, enhancing service experiences, and developing new offerings. Candidates should...Flexible hours
- ...drive future growth in Barings' CLO and other fixed income strategies. Primary Responsibilities Develop, maintain and prepare marketing and servicing materials. This will include pitch books as well as scheduled and ad-hoc updates on credit markets and specific...Temporary workWork experience placementFlexible hours
- ...consulting firm seeks a Senior Consultant to join its Capital Markets team in Charlotte, NC. The role involves assisting client engagements... ..., and providing advice on digital assets and regulatory compliance. Candidates should have at least 3 years of experience in...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to RIA Compliance Analyst - Marketing & Controls. Be the first to apply!
Related searches
- investment consultant Charlotte, NC
- investment advisor Charlotte, NC
- information security compliance analyst Charlotte, NC
- senior compliance officer Charlotte, NC
- compliance associate Charlotte, NC
- international trade compliance analyst Charlotte, NC
- senior regulatory affairs specialist Charlotte, NC
- senior compliance analyst Charlotte, NC
- compliance analyst Charlotte, NC
- cybersecurity policy and compliance analyst Charlotte, NC