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Regulatory Investigations Consultant

Charlotte, North Carolina;

Job Description:

The Regulatory Investigations Consultant is part of a Legal team that has enterprise-wide responsibility for

responding to regulatory or governmental inquiries that pose significant legal, economic or reputational risk to the

company. The consultant assists in conducting or coordinating the company's discovery and response efforts

arising from regulatory inquiries or legal process and interacts directly with various internal and external parties in

the course of such efforts. The consultant is responsible for performing discovery management and complex

analysis to assist management and counsel in identifying, assessing, and mitigating legal and regulatory risk

exposure. Common duties include discovery, collection, review, analysis, and production of physical

documentation and electronically stored information that may be responsive to regulatory inquiries or legal

process. The position commonly interfaces and coordinates on assigned matters with internal legal counsel,

external legal counsel, discovery management vendors, business unit management and staff, support unit staff,

risk partners, and regulatory or government agency staff. The consultant is also responsible for preparing

regular reports on assigned matters to provide status to Legal Department management, business unit

management, risk management and others.

Extensive knowledge of securities regulations, investment advisor regulations or extensive knowledge of the

GWIM LOB business is desired.


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No


Talent Acquisition Contact:

Referral Bonus: