Senior Compliance Professional – Regulatory Affairs

Prosperity - An EisnerAmper Company; Raleigh (NC); On-site; USD 90,000 - 120,000; Full time

Job summary

Prosperity – An EisnerAmper Company is seeking a Compliance professional to join our Retirement Plan Services practice in Raleigh. You will support regulatory compliance, review policies, and assist with examinations, helping ensure adherence to SEC/FINRA requirements while maintaining firm standards.

In this role you will collaborate across teams, monitor compliance activities, manage documentation, and contribute to a culture of integrity and continuous improvement, with opportunities to

Qualifications

• Bachelor's degree required.
• 3–5 years of experience in compliance, regulatory affairs, audit, operations, or financial services.
• Experience with regulatory examinations, compliance monitoring, or internal audits preferred.
• Series 65 license preferred or willingness to obtain.

Responsibilities

• Support day-to-day administration of the regulatory compliance program.
• Review, update, and implement compliance policies and procedures.
• Maintain the compliance calendar and ensure timely filings and reviews.
• Review new account opening documentation for completeness and regulatory adherence.
• Assist with regulatory examinations, audits, and information requests.
• Conduct due diligence on vendors and third-party providers.
• Review marketing materials for regulatory compliance.
• Support Code of Ethics program administration.

Skills

Regulatory compliance

Attention to detail

Analytical thinking

Interpersonal skills

Education

Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or related field

Tools

Microsoft Office

Job description

Prosperity – An EisnerAmper Company is seeking a Compliance professional to join our Retirement Plan Services practice in Raleigh. You will support regulatory compliance, review policies, and assist with examinations, helping ensure adherence to SEC/FINRA requirements while maintaining firm standards.

In this role you will collaborate across teams, monitor compliance activities, manage documentation, and contribute to a culture of integrity and continuous improvement, with opportunities to