Compliance & Risk Manager

Associate Services, LLC•Charlotte, NC

About The Position

The Compliance Manager is responsible for managing and enhancing the company’s corporate and compliance program to ensure adherence to applicable operating agreements, loan agreements, joint venture and fund documents, as well as federal, state, and local laws and regulations. This role develops, implements, and maintains internal policies related to ethics, data privacy, anti-bribery, conflicts of interest, and other core compliance areas. The Compliance Manager conducts routine compliance audits and risk-based assessments, prepares reports and recommendations for senior leadership, and supports board-level reporting as needed. In partnership with Legal and Finance, this position supports corporate governance activities, licensing requirements, and regulatory obligations. Serving as an internal resource and advisor, the Compliance Manager monitors ongoing business practices for regulatory alignment, communicates policy updates, and leads employee education and training on compliance requirements. This role plays a key part in fostering a culture of accountability, transparency, and compliance awareness across the organization.

Requirements

Bachelor’s degree in Business, Finance, Risk Management, or a related field required.
5-10 years of progressive experience in Risk Management and/or Compliance.
Knowledge of risk assessment methodologies and audit frameworks.
Demonstrated ability to execute risk and compliance monitoring and testing procedures.
Experience working with complex legal and regulatory documents.
Strong attention to detail with the ability to manage multiple priorities.
Exceptional verbal and written communication skills.
Strong analytical and problem-solving capabilities.

Nice To Haves

Master’s degree preferred; JDs are encouraged to apply.
Experience within the real estate industry is preferred.
Certified Compliance & Ethics Professional (CCEP) designation preferred.
Experience with and working knowledge of COSO and/or ISO 31000 frameworks.

Responsibilities

Design, implement, and maintain the company’s corporate compliance program to ensure adherence to company governance documents and all applicable federal, state, and local laws and regulations.
Develop, implement, and enforce internal compliance policies related to ethics, data privacy, anti-bribery, and conflicts of interest.
Conduct periodic compliance audits and risk assessments; document findings and provide recommendations to leadership.
Support licensing, entity management, and corporate governance requirements in partnership with Legal and Risk Management teams.
Monitor ongoing business activities to ensure compliance with applicable laws, regulations, and internal standards.
Partner with leadership to help define risk tolerance levels and support corrective actions to mitigate identified risks.
Prepare and deliver regular compliance and risk reporting for senior leadership; support board-level reporting as needed.
Manage and execute day-to-day Compliance functions across the organization.
Coordinate the preparation of risk and compliance audit reports and related documentation.
Evaluate new and changing regulations and recommend policy and procedural updates as needed.
Educate employees on compliance requirements and communicate policy updates in a clear and timely manner.
Serve as a trusted advisor to leaders on compliance and risk-related matters.
Promote a culture of accountability, transparency, and risk awareness throughout the organization.