Companies depend on the infusion of new ideas and fresh talent to stay ahead of the competition. We invite you to consider joining the Clark Consulting team where you can be heard, recognized and rewarded for your contributions.

Director Compliance/Chief Compliance Officer - Greensboro/Raleigh, NC

Manage compliance professionals and registered staff. Ensure proper compliance of policies and procedures applicable to regulatory rules and insurance laws. Responsible for managing compliance functions such as AML, BCP, CE, Audit program, communication review, and email review. Investigate complaints against firm and registered representatives. Control and assist regulatory exam and audits. Oversee books and records. Coordinate reporting activities. Handles E&O and key risk indicators on part of Clark Securities Inc. Position may have project management assignments. Bachelor’s degree in business, economics or equivalent experience. Current registration with FINRA is required. Completion of Insurance License. Five years in brokerage, mutual fund, banking, insurance and/or investment advisory service. Solid knowledge of regulatory compliance. Series 24, and/or 26.

Compliance Manager & Lead Compliance Analyst - Greensboro/Raleigh, NC

Supervise activities of registered representatives of Clark Consulting. Provide oversight and ensure compliance with Clark Securities Inc.’s processes and procedures. Prepare licensing and ensure all application documents are complete, as well as, maintenance of licensing. Position may have project management assignments. Bachelor’s degree in business, economics or equivalent experience. Current registration with FINRA is required. Completion of Insurance License. Three years in brokerage, mutual fund, banking, insurance and/or investment advisory service. Exposure to regulatory compliance.

Business Unit General Counsel - Greensboro, NC

Manage various corporate legal matters and contracts with vendors and clients, and provide risk evaluation/management/mitigation and other legal support as needed.  Provide legal advice to Clark management.  Coordinate litigation and pre-litigation activities with designated contact at AEGON Legal.

*view full job description (MS Word)

To apply to any of the positions listed, email your résumé to:
HR Recruiter
CCHR@clarkconsulting.com