Senior Compliance Analyst

Overview

WHO are we looking for?

 

CAPTRUST is seeking a Senior Compliance Analyst to join our Compliance Team. You will work with the Director of Compliance to maintain and implement the compliance program for an established federally registered investment advisor (RIA) and registered broker-dealer, and drive adherence with applicable laws, regulations, and regulatory guidance.

The ideal candidate has previous experience with SEC, FINRA and state rules in support of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals. This position requires the individual to be able to work independently and collaboratively, assess information both conceptually and analytically, have the ability to be flexible, work across teams, and support additional projects and needs as they arise. 

 

The internal title for this role is intended to be Senior Analyst | Compliance.

Responsibilities

• Support 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; support 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.
• Review marketing and advertising materials, including social media and Requests for Proposal (RFPs), to confirm adherence to regulations and company policies.
• Collaborate with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and procedures.
• Support the broker-dealer and registered investment advisor office inspection programs as needed.
• Support financial crimes and fraud investigations.
• Quickly become proficient in the Firm’s compliance systems.
• Analyze business processes, transactions, and other data to identify potential compliance risks and develop testing and action plans.
• Assist in drafting, revising, and updating procedures to reflect compliance processes and requirements.
• Support the Director of Compliance in implementing, maintaining, and enhancing compliance controls and programs to support business objectives, growth, and innovation.
• Support the Compliance Leadership Team on a variety of projects and tasks as needed.
• Investigate potential compliance violations and recommend appropriate actions.
• Manage day-to-day work, including ad hoc requests and matters that arise during the week.
• Assist with special assignments and perform other compliance related duties as directed.
• Ability to travel occasionally.

Qualifications

Minimum Qualifications:

• Bachelor’s degree
• 5-10 years of experience working at an investment advisory/broker-dealer firm
• Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s regulatory requirements
• Highest standard of personal and professional ethics and integrity

Desired Qualifications/Skills:

• Strong written and oral communication skills, attention to detail, ability to analyze information, multi-task, manage competing priorities and stay organized
• Strong interpersonal skills, professionalism, ability to maintain confidentiality
• Ability to work both independently and in a team environment; proactive, with the ability to independently carry out projects to their completion
• Proficiency in MS Office & Microsoft 365 (Word, Excel, PowerPoint, Outlook, SharePoint, Teams)
• Working knowledge of an investment advisory firm’s regulatory requirements
• Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940
• Experience with MyComplianceOffice or other compliance reporting systems a plus
• Exposure to one or more Investment Adviser portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plus
• Series 7/24 preferred, or willingness to obtain them within 6 months of hire.
• Ability to travel periodically

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.#mid-senior

 

This position will remain open until filled.