OverviewWHO 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.
QualificationsMinimum 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
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
