Strategic Compliance Officer – Wealth Management

Choreo; Charlotte (NC); On-site; USD 120,000 - 180,000; Full time

Job summary

Choreo, a wealth management firm based in Charlotte, NC, is seeking a Compliance Officer to join the Legal and Compliance team. The role reports to the Deputy Chief Compliance Officer and focuses on administering and enhancing the regulatory program while aligning with business partners.

The ideal candidate has 6–10 years of investment adviser compliance experience, preferably with an SEC-registered adviser, and a track record of drafting policies, performing testing, and managing audits.

Qualifications

• Bachelor's degree required with 6–10 years of compliance experience.
• Experience drafting and maintaining compliance policies and procedures.
• Experience with compliance testing, marketing review, and audits.
• Strong collaboration with legal and cross-functional teams.

Responsibilities

• Draft, implement, and maintain compliance policies with stakeholder review.
• Provide day-to-day compliance support for marketing review workflows.
• Design and enhance testing, monitoring, and risk assessment programs.
• Support regulatory examinations and internal audits with documentation.
• Advise on compliance for new products and initiatives.

Skills

Policy drafting

Regulatory knowledge

Cross-functional collaboration

Communication skills

Independent work

Education

Bachelor's degree

Tools

RedOak

MyComplianceOffice

GlobalRelay

Job description

Choreo, a wealth management firm based in Charlotte, NC, is seeking a Compliance Officer to join the Legal and Compliance team. The role reports to the Deputy Chief Compliance Officer and focuses on administering and enhancing the regulatory program while aligning with business partners.

The ideal candidate has 6–10 years of investment adviser compliance experience, preferably with an SEC-registered adviser, and a track record of drafting policies, performing testing, and managing audits.