Compliance Analyst at CAPTRUST Financial Advisors

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Full Time

Start Date

Immediate

Expiry Date

13 Jul, 26

Salary

0.0

Posted On

14 Apr, 26

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance analysis, Investment Advisers Act of 1940, SEC Marketing Rule, Marketing material review, RFP review, Regulatory compliance, Policy development, Risk assessment, Data analysis, Communication skills, Attention to detail, Microsoft Office, Microsoft 365, Compliance reporting systems, Interpersonal skills, Project management

Industry

Financial Services

Description

Overview WHO are we looking for? CAPTRUST is seeking a 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. Our ideal candidate has a strong, working knowledge of the compliance responsibilities of SEC-registered investment advisors including the requirements applicable to marketing and advertising materials and the development of policies, procedures and controls. The ideal candidate would like to grow in a tight-knit, collaborative environment, and is motivated to continue developing their career in RIA Compliance. The candidate will work with the Director of Compliance and the immediate Compliance Team on a day-to-day basis, to support compliance functions primarily relating to CAPTRUST’s marketing and advertising function. The candidate must maintain the highest professional and ethical standards, be well organized, and capable of meeting tight deadlines. The individual needs to be self-motivated to research and enhance their understanding of applicable 1940 Investment Advisers Act rules and best practices. In addition to collaborating with and providing compliance-related guidance to individuals in other areas of the Firm, the candidate will assist with training and supporting others within the Compliance Team. Responsibilities 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 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 Qualifications Minimum Qualifications: Bachelor’s degree 4-7 years of experience working at an investment advisory or broker-dealer firm Working knowledge of the Investment Advisers Act of 1940 and an investment advisory firm’s regulatory requirements Working knowledge of the SEC Marketing Rule 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 RIA advertising/marketing material and/or RFP review Comfort and ability to work and communicate effectively across function areas 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) Experience with marketing review systems and tools Experience with MyComplianceOffice or other compliance reporting systems a plus Exposure to one or more Investment Advisor portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plus Series 7/24, a plus 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 OR 4201 Congress St #160, Charlotte, NC 28209 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.

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Responsibilities

The Compliance Analyst will review marketing and advertising materials to ensure adherence to SEC regulations and internal policies. They will also collaborate with business lines to identify compliance risks and assist in drafting and updating internal procedures.