198 compliance associate jobs at 109 companies in Stallings, NC
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Senior Associate, Core Compliance
Charlotte, North Carolina, United States
OnsiteFull Time
Barings: N alternative asset manager serving institutional, insurance, and wealth clients across credit and real assets.
2+ YOERequires 2–5 years of investment adviser compliance experience, familiarity with Codes of Ethics and conflicts policies, strong communication, independent judgment, collaboration, prioritization, and delivery skills.
Tryon Medical Partners: Independent, physician-owned outpatient medical practice providing primary and specialty care to patients across the Charlotte region.
6+ YOE6–7 years healthcare privacy/compliance experience, associate or bachelor degree in related field, knowledge of HIPAA and state privacy laws, strong communication, analytical and MS Office skills.
Microsoft Office, Microsoft Outlook, Microsoft Word, Microsoft Teams
LIS Solutions: Woman-owned U.S. professional services firm providing government agencies and businesses language, intelligence, and security solutions.
Associate's degree required, strong data-entry and database query skills, proficiency with Microsoft Word/Excel/Office, attention to detail, ability to complete DHS/ICE training and obtain Tier 4 public trust clearance.
Microsoft Word, Microsoft Excel, Microsoft Office, DHS databases
SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance
New York City or Fort Mill or Charlotte
$213k-$355k/yrOnsiteFull Time
LPL FinancialNasdaq: LPLA: Independent broker-dealer and wealth management platform.
10+ YOEExperienced attorney with 10+ years advising broker-dealer or investment advisory businesses on SEC/FINRA regulatory compliance, enforcement defense, and corporate transactions; proven team leadership and strategic judgment.
SVP, Associate General Counsel – Broker-Dealer Regulatory Compliance
New York or Fort Mill or Charlotte
$213k-$355k/yrOnsiteFull Time
LPL FinancialNasdaq: LPLA: Independent broker-dealer and wealth management platform.
10+ YOEExperienced attorney with 10+ years advising broker-dealer and investment advisory businesses on SEC/FINRA regulatory compliance, enforcement defense, litigation/arbitration, and M&A; ability to lead and develop legal teams.
CoinbaseNASDAQ: COIN: Provides secure cryptocurrency exchange and digital asset services.
7+ YOE7+ years in compliance operations/financial crimes/AML with program management experience, hands-on TM/screening/EDD knowledge, experience building AI agents and automation, and experience managing content lifecycles and small teams.
isolved: Private HCM software provider helping U.S. employers manage HR, payroll, benefits, and workforce operations.
3+ YOEAssociate degree or 3 years of retirement industry experience required; QKA designation preferred. Responsibilities include nondiscrimination testing, corrective actions, and Form 5500 reporting.
North Carolina Department of Labor: A state government organization providing public services and promoting a safer and stronger North Carolina.
2+ YOEBachelor's degree plus 2 years of occupational safety and health inspection experience, or associate degree plus 4 years, or equivalent education and experience. Requires driver's license and strong report-writing, communication, and inspection skills.
North Carolina Field Information System (FIS), Field Operations Manual (FOM)
South Carolina Department of Environmental Services: Official state government portal for the State of South Carolina.
2+ YOEAssociate degree in a related technical field or high school diploma/GED plus two years of environmental health experience. Requires driver's license, wastewater sampling knowledge, Microsoft Office proficiency, and field-work ability.
Microsoft Office Suite, Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Standard Operating Procedures (SOPs)
Moore & Van Allen: Full-service Southeast law firm serving corporations, financial institutions, manufacturers, retailers, individuals, and technology companies.
6+ YOE6+ years of M&A and private equity experience, law degree required, NC Bar eligibility preferred, experience supervising junior associates, drafting and negotiating transaction documents.
Atlanta or Birmingham or Charlotte or Dallas or Houston or Huntsville or Jackson or Montgomery or Nashville or Tampa
OnsiteInternship
Bradley Arant Boult Cummings: National law firm providing a full suite of legal services to business clients worldwide.
Law student eligible for summer associate program; willing to perform substantive legal work, attend trials/depositions/closings, and participate in mentoring and firm events.
K&L Gates: Global law firm providing corporate, regulatory, litigation, and policy services to companies, public entities, institutions, and individuals.
4+ YOE4-6 years transactional tax experience; drafting and reviewing partnership, JV, and LLC agreements; tax aspects of equity/debt financings; drafting tax provisions in M&A documents; renewable energy tax experience preferred; strong academics and communication.
Offit Kurman: Private Am Law 200 full-service law firm serving businesses, individuals, and families.
5+ YOEJ.D. from ABA-accredited law school, admission to the North Carolina bar, 5-15 years litigation experience, strong legal writing, research, and communication skills.
Winston Taylor: Private transatlantic law firm advising businesses and people on litigation, transactions, intellectual property, and private wealth.
3+ YOEMinimum 3 years fund finance/structured finance experience; admitted to state bar of preferred office; experience with subscription facilities, NAV lines, leverage facilities and CLOs preferred.
Atlanta or Atlantic City or Blue Bell or Boston or Charlotte or Exton or Greensboro or Greenville or Miami or Morristown or New York or Philadelphia or Princeton or Raleigh or Sarasota or Warrington or Washington or West Palm Beach or Wilmington
$210k-$270k/yrOnsiteFull Time
Fox Rothschild LLP: National U.S. law firm providing legal services to individuals and businesses.
4+ YOEJD required; 4+ years corporate/transactional experience (M&A and venture capital), licensed to practice in specified US jurisdictions, strong writing and deal drafting experience, knowledge of corporate/partnership tax.
Chambliss, Bahner & Stophel: Private Chattanooga law firm providing legal counsel to businesses, governments, families, individuals, and nonprofit organizations.
2+ YOEMinimum 2+ years employment law attorney experience; litigation and client counseling; strong analytical, communication, time-management, and file-management skills; submit law school transcript with resume.
Atlanta or Baltimore or Boston or Charleston or Charlotte or Chicago or Columbia or Dallas or Plano or Denver or Fort Lauderdale or Greenville or Houston or Huntington or Los Angeles or Torrance or Miami or Minneapolis or Nashville or New York or Orlando or Pittsburgh or Raleigh or Richmond or San Diego or Washington
OnsiteMultiple Commitments Available
Nelson Mullins: U.S. full-service law firm providing legal and government-relations services to businesses, institutions, and individuals.
Law students apply with resume, unofficial transcript, and cover letter; evaluated on academic performance, extracurricular activities, leadership, and other accomplishments.
Parnall Law Firm: New Mexi personal injury law firm representing people injured by accidents, negligence, recklessness, and criminal conduct.
5+ YOE5+ years personal injury or insurance defense experience; willingness to relocate to Albuquerque, NM; strong teamwork and client-advocacy skills; litigation, negotiation, and trial experience expected.
Chartwell Law: Private civil litigation law firm defending businesses, insurers, employers, and healthcare organizations in commercial and liability disputes.
2+ YOEJ.D. from an ABA-accredited law school, active state bar license, and at least 2 years of practice group experience. Requires strong legal research, writing, oral advocacy, organization, and client communication skills.
Shumaker: Private U.S. full-service business law firm serving businesses, public-sector bodies, and other organizations.
4+ YOEJuris Doctor and active NC bar (or ability to waive), minimum 4 years litigation experience, strong legal research and writing, deposition and courtroom experience, ability to manage multiple cases and deadlines.