Analyst Compliance

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 SEC-registered investment adviser 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 (“RIAs”), including the requirements applicable to advertising and marketing 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 relating to CAPTRUST’s investment advisory and broker-dealer business. 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

• 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
• Review activities and transactions to confirm adherence to regulations and company policies (e.g., emails, marketing materials)
• Assist in drafting, revising, and updating procedures to reflect compliance processes and requirements
• Collaborate with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and procedures
• 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 during SEC regulatory exams
• Investigate potential compliance violations and recommend appropriate actions
• Manage day-to-day work, including ad hoc requests and matters that arise during the week
• This role has the opportunity work in and learn a number of compliance areas relevant to RIAs/BDs, including, but not limited to:
  • Advertising and marketing materials review (experience preferred, skills test during interview)
  • RFP and due diligence questionnaire completion and review
  • Testing and Monitoring program support
  • Branch inspection program
  • Compliance training
  • AML
  • Electronic communications monitoring
  • Insurance business support
  • Enterprise compliance
• Special projects as needed

Qualifications

Minimum Qualifications:

• Bachelor’s degree or equivalent years' of experience

• 6-7 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 requirement

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 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
• IACCP or CSCP certified or candidate a plus
• Series 7/24 preferred
• 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:

• Employee ownership opportunities
• Brick Bonus success sharing program
• Comprehensive health coverage + Personify wellness platform
• 401(k) program with a 5% employer match + financial planning for colleagues

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.

CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #mid-senior