OverviewWHO are we looking for?CAPTRUST is seeking a
Senior Compliance Manager to join our Compliance Team. The Senior Compliance Manager will be responsible for a variety of key enterprise compliance and broker-dealer supervisory processes and procedures required by regulation and assist in regulatory risk mitigation. This position requires the individual to be able to work independently, assess information - both conceptually and analytically as well as providing insight and guidance to improve/enhance our regulatory compliance program. The ideal candidate will have the ability to operate effectively in evolving environments while balancing regulatory requirements with business objectives.
Responsibilities- Manage the development, maintenance, and periodic review of compliance policies, procedures, and related governance documents; coordinate policy updates to address regulatory changes, business developments, and emerging risks.
- Develop and execute risk-based compliance testing and monitoring activities; conduct reviews to assess adherence to firm policies, regulatory requirements, and internal controls; preparation and presentation of results to assist with annual compliance program review reports.
- Support the development, implementation, and administration of the firm's compliance training program, including new hire onboarding, annual compliance education, targeted regulatory updates, continuing education, and role-specific training initiatives.
- Oversee the firm's electronic communications monitoring and surveillance program, including reviews of email, Teams, approved text messaging platforms, social media, and other business communication channels. Analyze surveillance results, investigate potential issues, document findings, and coordinate appropriate follow-up and
remediation activities. - Assist with regulatory examinations, audits, due diligence reviews, and information requests.
- Coordination with Compliance Directors to review and assist in improving Compliance processes & procedures.
- Manage a team and/or projects, as needed.
- Assist on special projects, ad hoc assignments, and other compliance-related matters as needed and as directed by Compliance Leadership.
QualificationsMinimum Qualifications:
- 10+ years of experience working at an investment advisory firm and/or broker-dealer
with direct experience in compliance - Completion of a four-year college degree or equivalent years of relevant experience
- Highest standard of personal and professional ethics and integrity
Desired Qualifications/Skills:
- Demonstrable working knowledge of industry regulations: The Investment Advisers Act
of 1940 and the Securities Exchange Act of 1934, FINRA Rules - Compliance certifications (CSCP, CCEP, CICCP, IACCP, CRCP, etc.) a plus
- Regulatory licensing (7 and 66, 65, 24, etc.) a plus
- Forensic auditing or testing experience
- Intermediate to advanced knowledge of MS Excel
- Experience with Global Relay, MCO, Red Oak, Archer and other Compliance technologies
- Excellent written communication skills
- Business partnership and collaborative influence
- Strategic problem solving in ambiguous environments
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?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
