Manager of Compliance - Transform Your Career with Robert Half in Charlotte, NC

Join Robert Half in the vibrant city of Charlotte, North Carolina, United States, as a Manager of Compliance for an SEC-registered investment adviser. This is more than just a job—it's a strategic leadership role where you will shape the future of compliance programs while positioning yourself for promotion to Chief Compliance Officer (CCO). With a competitive salary starting at $125,000, a 25-30% bonus target, and unique perks like carried interest, this position offers unparalleled career growth and financial rewards. If you're a compliance expert passionate about regulatory excellence, SEO-optimized opportunities like this Manager of Compliance role in Charlotte are rare. Robert Half specializes in connecting top talent with high-impact finance and compliance careers across the United States.

About the Role

As Manager of Compliance, you will lead the compliance function for a dynamic investment advisory firm, ensuring adherence to SEC regulations while driving strategic initiatives. Located in the heart of Charlotte, NC—a hub for finance and banking—this full-time role provides exposure to cutting-edge areas like AI regulations, cybersecurity, and anti-money laundering (AML). You'll collaborate with senior leaders, including the General Counsel and Chief Compliance Officer, who offer direct mentorship. This position is ideal for professionals seeking to expand their expertise in investment adviser compliance, from Form ADV filings to global fundraising rules. Robert Half's network ensures this Charlotte-based opportunity stands out in competitive job markets for compliance managers nationwide.

Key Responsibilities

Your day-to-day will be hands-on and impactful:

• Oversee the entire compliance program, proactively adapting it to evolving regulatory landscapes in the investment advisory space.
• Manage comprehensive compliance records, including pre-clearance approvals, marketing material reviews, and fundraising regulation documentation.
• Collaborate seamlessly with external advisers, internal investment teams, finance, and accounting to maintain 100% SEC regulation adherence.
• Lead preparations for SEC audits, conduct annual compliance reviews, and monitor critical areas like AI governance, cybersecurity protocols, and AML compliance.
• Ensure accurate and timely regulatory filings using tools like FINRA IARD, Form ADV, and Form PF.
• Develop and deliver compliance training programs to mitigate risks related to insider trading, global fundraising, and emerging financial rules.
• Partner with cross-functional teams to produce required reporting and support organizational growth initiatives.

These responsibilities position you at the forefront of compliance innovation, making this Robert Half-listed role a prime choice for ambitious professionals in Charlotte, NC.

Required Qualifications

To succeed, bring the following expertise:

• Bachelor's degree in Finance, Law, Business Administration, or a related discipline; advanced certifications like CAMS or CRCM are a plus.
• At least 5-7 years of progressive compliance experience, ideally with SEC-registered investment advisers.
• In-depth knowledge of SEC regulations, including the Investment Advisers Act of 1940.
• Hands-on experience with regulatory filings (Form ADV, Form PF), FINRA IARD, pre-clearance processes, and marketing reviews.
• Proven ability to prepare for and navigate SEC audits and examinations.
• Strong understanding of AML, cybersecurity, AI regulations, and insider trading policies.
• Exceptional organizational skills for record management and collaboration across teams.
• Excellent communication abilities to liaise with regulators, executives, and stakeholders.

Robert Half values candidates who thrive in fast-paced environments, and this Charlotte compliance manager position is tailored for those ready to lead.

Why Join Us

This role is a game-changer for your career. Enjoy a clear path to CCO with personalized mentorship from top legal and compliance leaders. Financially, it's exceptional: $125,000 base salary, 25-30% bonus potential, carried interest in future funds, and comprehensive benefits including health coverage, 401(k) matching, and paid time off. Relocation support is available for qualified candidates moving to Charlotte, North Carolina. Gain mastery over industry tools and diverse compliance domains, from U.S. SEC rules to international fundraising. Robert Half's reputation ensures stability and growth in the competitive Charlotte job market. Apply now for this SEO-optimized compliance manager opportunity and elevate your career in finance compliance today! (Word count: 812)