Compliance Associate
Social Capital Resources
Social Capital Resources is seeking a Compliance Associate/Sr. Associate for a full-time role in the Charlotte Metro area. This position focuses on enhancing the firm’s compliance program through the review of marketing and regulatory submissions, advising on policy adherence, and conducting compliance investigations. The ideal candidate will have 2-8 years of relevant experience, preferably in independent advisor support. Knowledge of the Investment Advisors Act of 1940 is essential, and familiarity with ORION Compliance or similar systems is a plus. #J-18808-Ljbffr
Vacancy posted 1 day ago
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