Compliance Analyst
CAPTRUST, Raleigh, NC, United States
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:
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
Desired Qualities:
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
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)
Location
4201 Congress St #160, Charlotte, NC 28209
Due to the nature of the role, this is not a remote or work from home position.
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.
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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:
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
Desired Qualities:
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
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)
Location
4201 Congress St #160, Charlotte, NC 28209
Due to the nature of the role, this is not a remote or work from home position.
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.
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