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Compliance Jobs in Raleigh, NC (NOW HIRING)

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

The Senior Compliance Manager serves as a subject matter expert for broker-dealer compliance and regulatory oversight. This role is responsible for leading and enhancing the firm's broker-dealer ...

CAPTRUST

Senior Compliance Manager

Raleigh, NC · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

The Senior Compliance Manager serves as a subject matter expert for broker-dealer compliance and regulatory oversight. This role is responsible for leading and enhancing the firm's broker-dealer ...

Elkay Manufacturing

Engineer I , Compliance

Cary, NC · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

Engineer I , Compliance The Company Zurn Elkay Water Solutions Corporation is a thriving, values-driven company focused on doing the right things. We're a fast growing, publicly traded company (NYSE:

Xylem

Regulatory Compliance Engineer

Morrisville, NC · On-site

This role supports compliance testing and certification for products such as smart water, gas, and electric meters, AMI smart points, in-home displays, street-lighting systems, and network ...

Boon Edam

Contractor Compliance Coordinator

Raleigh, NC · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

  • PTO

The General Contractor Portal & Compliance Coordinator is responsible for managing and maintaining all vendor compliance requirements across multiple general contractor (GC) platforms and portals.

Amgen SA

Quality Compliance, Director

Holly Springs, NC · On-site

$180 - $240/hr

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

QUALITY COMPLIANCE, DIRECTOR What you will do Let's do this. Let's change the world. In this vital role you will reporttotheExecutive Director of RegulatoryCompliance andprimarily provide direct ...

Amgen

Quality Compliance, Director

Holly Springs, NC · On-site

  • Medical

  • Dental

  • Vision

  • Life

  • Retirement

QUALITY COMPLIANCE, DIRECTOR What you will do Let's do this. Let's change the world. In this vital role you will reporttotheExecutive Director of RegulatoryCompliance andprimarily provide direct ...

Alcami Corporation

Manager, Audit Compliance

Durham, NC · On-site

Job Summary The Manager, Audit Compliance is accountable for driving results in a fast-paced environment, continuously challenging performance in regard to quality standards, systems, and operating ...

Alcami Corporation

Manager, Audit Compliance

Durham, NC · On-site

Job Summary The Manager, Audit Compliance is accountable for driving results in a fast-paced environment, continuously challenging performance in regard to quality standards, systems, and operating ...

Dlapiper

OGC - Compliance Coordinator

Raleigh, NC · Hybrid

$34.09 - $48.75/hr

  • Medical

  • Dental

  • Vision

  • Retirement

Summary The Compliance Coordinator, working in collaboration with and in support of the firm's strategic initiatives, supports the firm's Office of General Counsel ("OGC") by providing administrative ...

GSK

Regulatory Compliance Lead

Zebulon, NC · On-site

You will lead regulatory compliance activities across US operations. You will work with quality, manufacturing, and technical teams to ensure compliance with regulations and company standards. Your ...

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Showing results 21-40

All JobsCompliance JobsCompliance Jobs in Raleigh, NC

Compliance information

See Raleigh, NC salary details

$30.6K

$96.2K

$201.7K

How much do compliance jobs pay per year?

As of Aug 16, 2026, the average yearly pay for compliance in Raleigh, NC is $96,181.00, according to ZipRecruiter salary data. Most workers in this role earn between $59,800.00 and $111,800.00 per year, depending on experience, location, and employer.

What are some typical challenges faced by professionals in a compliance role, and how can they effectively address them?

Compliance professionals often encounter challenges such as keeping up with frequently changing regulations, ensuring company-wide adherence to policies, and managing cross-departmental communication. Staying proactive through continuous education and leveraging compliance management software can help address regulatory updates. Building strong relationships with other departments and offering regular training also fosters a culture of compliance and makes it easier to address issues collaboratively.

What are the key skills and qualifications needed to thrive as a compliance professional?

To thrive as a Compliance professional, you need a strong understanding of regulatory requirements, risk assessment, and policy development, often supported by a degree in law, finance, or a related field. Familiarity with compliance management systems, audit tools, and certifications such as Certified Compliance & Ethics Professional (CCEP) are commonly required. Attention to detail, integrity, and effective communication are vital soft skills for navigating complex regulations and promoting organizational adherence. These skills ensure that companies remain compliant with laws and regulations, mitigating risk and protecting their reputation.

What is a compliance officer?

A compliance officer is a professional responsible for ensuring that a company or organization adheres to legal standards, regulatory requirements, and internal policies. Their main duties include developing, implementing, and monitoring compliance programs, conducting risk assessments, and providing training to employees. Compliance officers also investigate potential violations, report on compliance issues to management, and work to prevent unethical or illegal conduct within the organization. Their role is crucial in maintaining corporate integrity and protecting the organization from legal and reputational risks.

How to get a job in compliance?

The qualifications that you need to start a career in compliance depend on the position for which you are applying. Most employers require a bachelor’s degree for entry-level compliance positions. Your company may be willing to help new employees develop skills through on-the-job training. The best major depends on the field in which you want to work. Fields like legal studies, finance, accounting, or management are all common. Management level certifications are also available. These include a Certified Regulatory Compliance Manager (CRCM) accreditation, which is relevant for compliance managers dealing with regulations in the banking industry.

More about Compliance jobs

What are the most commonly searched types of Compliance jobs in Raleigh, NC?

The most popular types of Compliance jobs in Raleigh, NC are:

What are popular job titles related to Compliance jobs in Raleigh, NC?

For Compliance jobs in Raleigh, NC, the most frequently searched job titles are:

What job categories do people searching Compliance jobs in Raleigh, NC look for?

The top searched job categories for Compliance jobs in Raleigh, NC are:

What cities near Raleigh, NC are hiring for Compliance jobs?

Cities near Raleigh, NC with the most Compliance job openings:

Compliance jobs near you
Infographic showing various Compliance job openings in Raleigh, NC as of August 2026, with employment types broken down into 83% Full Time, 4% Part Time, and 13% Contract. Highlights an 78% In-person, 9% Hybrid, and 13% Remote job distribution, with an average salary of $96,181 per year, or $46.2 per hour.

Senior Compliance Manager

CAPTRUST

Raleigh, NC • On-site

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Re-posted 28 days ago

Job description

Overview
WHO are we looking for?
The Senior Compliance Manager serves as a subject matter expert for broker-dealer compliance and regulatory oversight. This role is responsible for leading and enhancing the firm's broker-dealer compliance program, including FINRA regulatory compliance, examinations, supervisory controls, registrations and licensing, WSP governance, and regulatory reporting. The ideal candidate will bring extensive experience operating within a complex broker-dealer environment and partnering with business leaders to manage regulatory risk and support firm growth.
Responsibilities
  • Oversee and execute all FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; manage the licensing onboarding and offboarding process for employees and registered representatives
  • Monitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reporting
  • Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and terminations
  • Manage all regulatory Compliance filings as a primary responsibility
  • Coordinate with Compliance Directors and CCO to maintain the governance framework for broker-dealer and registration activities, including maintaining and updating Written Supervisory Procedures (WSPs)
  • Support the broker-dealer and registered investment advisor office inspection programs as needed
  • Perform special projects, reporting, and research as required by the Compliance Director and CCO
  • Lead, develop, and manage compliance professionals on the team. Prior people leader/team management experience required

Qualifications
Minimum Qualifications:
  • Bachelor's degree or equivalent years of relevant work experience
  • 10-15+ years of progressive compliance experience within a FINRA-regulated broker-dealer environment.
  • Significant experience managing broker-dealer regulatory compliance programs, examinations, supervisory controls, and licensing functions.
  • Demonstrated success interacting directly with FINRA regulators and leading regulatory exam responses.
  • Working knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's requirement
  • Active FINRA Series 7 and Series 24 licenses.

Desired Qualifications/Skills:
  • Demonstrable working knowledge of industry regulations: FINRA rules, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934
  • Extensive experience working at an RIA and broker-dealer
  • Series 65 or 66 licenses (preferred)
  • Intermediate to advanced knowledge of MS Excel
  • Experience with FINRA Gateway/WebCRD
  • Excellent communication skills and attention to detail
  • Broker-dealer compliance leadership experience.
  • Experience supporting FINRA member firms.
  • Experience managing regulatory examinations and remediation activities.
  • Experience developing supervisory programs and compliance testing frameworks.
  • Experience within a dual-registered RIA/Broker-Dealer environment.

WHAT can you expect from your career at CAPTRUST?
Our colleagues, like our clients, tend to stay with CAPTRUST for years. There's a reason for it; it's a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.
Our Employee Benefits Package shows how much we value our team. Some benefits include:
  • Company discretionary bonus.
  • Health, dental, and vision coverage, employer 401(k) plan and company match, health savings accounts, flexible spending accounts, and voluntary supplemental plans subject to plan terms.
  • Company-paid benefits such as life insurance, short-term disability, and long-term disability, subject to applicable waiting periods.
  • Paid time off (PTO) or Paid Sick Leave (PSL)

WHERE will you be working?
4208 Six Forks Rd #1700 | Raleigh, NC 27609
Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite
HOW do we build a world class organization one brick at a time?
We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.
Are you the next brick?
To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:
  • Ability to build successful, collaborative, and trusting relationships
  • Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
  • A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
  • Inherent desire to give back to our communities and enrich the lives of those around us
  • An other-centered mindset
  • Integrity through maintaining objectivity

EEO/Diversity Statement:
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
It is our intent to maintain a work environment that is free of harassment, discrimination, or retaliation because of sex (including pregnancy, childbirth, or other related medical conditions), gender, race (including hair texture or hairstyles associated with race), religion, color, national origin, ancestry, physical or mental disability, genetic information, age, sexual orientation, gender identity, gender expression, protected veteran status, uniformed service, or any other status protected by federal, state, or local laws. #director
This position will remain open until filled.

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