Compliance Associate

Social Capital Resources; Charlotte (NC); On-site; USD 70,000 - 90,000; Full time

Job summary

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.

Qualifications

• 2-8 years of relevant experience required.
• Independent advisor support experience preferred.
• Experience in ORION Compliance or similar systems is a plus.

Responsibilities

• Review marketing materials for compliance with rules.
• Check and approve outside activities and vendor relationships.
• Help update compliance processes for efficiency.
• Investigate potential compliance issues.
• Research regulations and apply them to company policies.
• Support onboarding of new advisors.
• Act as a resource for advisors on compliance questions.

Skills

Investment Advisors Act of 1940

Compliance process improvement

Regulatory research

Advisor support

Tools

ORION Compliance

Job description

Asset Manager & RIA in Charlotte Metro area is seeking a Compliance Associate / Sr. Associate for a full-time position!

Summary

This role is responsible for supporting and enhancing the firm’s compliance program by reviewing marketing and regulatory submissions, advising on policy adherence, investigating potential issues, and partnering with advisors to ensure efficient, compliant business growth.

Responsibilities

• Review marketing materials to make sure they follow rules and company policies
• Check and approve items like outside activities, personal trades, and vendor relationships
• Help update and improve compliance processes to make them clearer and more efficient
• Look into potential compliance issues and suggest next steps
• Research regulations and apply them to company policies
• Support onboarding of new advisors and assist with required registration filings
• Act as a go-to resource for advisors by answering compliance questions quickly and clearly

Qualifications

• Investment Advisors Act of 1940
• 2-8 years of relevant experience
• Independent Advisor support experience preferred
• Experience in ORION Compliance or similar systems is a plus, but not required