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Who You Are Bachelor's degree or equivalent required, 8 plus years relevant experience JD or MBA may be considered in lieu of some experience Extensive knowledge of applicable compliance and legal issues, various company products and services, and department operations Experience in retirement record keeping and/or insurance or mutual fund company wholesale distribution broker-dealer or investment adviser Creative and self-directed with ability to consider a wide range of factors in solving problems Excellent leadership, negotiation, presentation, and organizational, skills required as well as superior interpersonal, relationship-building, analytical, time management, and oral and written communication skills FINRA series 7, 24 and state 65/66 preferred Salary Range Information Salary ranges below reflect targeted base salaries. You'll have the opportunity to: Lead the practice group accountable for providing compliance consultation and compliance risk assessment to Principal Securities (PSI), Principal Fund Distributor (PFD) and various stakeholders in the strategic business areas of Principal, guiding development and maintenance of policies and procedures to reasonably comply with broker-dealer requirements for business areas providing securities aspects of the retirement record keeper, variable/group annuity, variable life and fund complex wholesaling, insurance variable product underwriting and distribution, securities aspects of the retirement record keeper, area compensation practices, wholesale activity licensing and registration, and the books and records in those product areas.
Cary, North Carolina 6 days ago
Our purpose is to transform transplant medicine as the primary partner to the community of transplant healthcare providers and their patients; our focus is in developing new therapies and programs to help transplant healthcare providers and the patients they treat. This role serves as a trusted advisor to assigned business functions, providing strategic and operational leadership across core compliance activities, including guidance and advisory support, training, monitoring, policy governance, investigations support, and issue resolution.
li>Vendor Risk Management (VRM): Oversee the VRM integration, including risk reviews, contract management, and ongoing monitoring to manage risks associated with third-party vendors and suppliers. California Residents click below for Privacy Notice:
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Raleigh, North Carolina 30+ days ago
The ideal candidate manages the full lifecycle of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals, and works directly with regulatory bodies on regulatory exams and inquiries. 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.
Raleigh, North Carolina 30+ days ago
Primary responsibilities include but are not limited to the submission of new and renewal applications, student performance data to various oversight agencies, maintaining point of contact information for oversight agencies, processing employment verifications, and distribution of internal compliance updates. The company partners with workforce organizations, healthcare providers, and academic institutions to help build talent pipelines and provide pathways to career advancement, including opportunities for articulated college credit.
It also develops and maintains compliance policies, procedures, controls, and training; monitors obligations across business units; partners on investigations/audits and risk assessments; and helps streamline contracting and internal policy adherence-enabling efficient strategic execution, reducing enterprise risk, and supporting scalable growth. The role maintains audit- and diligence-ready corporate records and governance documentation (minutes, resolutions, written consents, bylaws/charters), prepares executive and board materials, and coordinates information flow with internal stakeholders.
Wake County, NC 29 days ago
Bachelor's degree in accounting, or a degree in business administration, finance or public administration or a related discipline from an appropriately accredited institution with 18 semester hours of accounting coursework; and five years of professional accounting experience in the preparation and review of interpretive or analytical accounting/financial statements and reports; of which at least one is supervisory; or equivalent combination of education and experience. This division is responsible for the State Public School Fund Budget, the allocations of funding to Public School Units and nonprofits; collecting and accounting for the expenditures; the monitoring and compliance of the use of the funds; the analysis and reporting of the financial, personnel and aggregate student data; the development of the policies related to public school salary, allotments of State and Federal funds, and student accounting.
This position plays a critical role in ensuring timely and accurate financial reporting, strengthening internal controls, supporting audits, and improving business processes through technology and best practices. The Manager of Accounting & Compliance is responsible for leading core accounting operations while driving process optimization, financial reporting accuracy, and operational efficiency across the organization.
This individual acts as the primary interface between Bavarian Nordic and the external partner, ensuring reliable supply, operational excellence, and strong cross functional alignment across internal stakeholders, including Supply Chain, Quality, MSAT, Regulatory, Finance, and Procurement. With a growing commercial portfolio and strong global partnerships, Bavarian Nordic is evolving how vaccines are supported across healthcare ecosystems — combining scientific innovation with customer engagement, education, and public health impact.
Wake Forest, North Carolina 30+ days ago
