Compliance Analyst

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 policiesCollaborate with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and proceduresQuickly become proficient in the Firm’s compliance systemsAnalyze business processes, transactions, and other data to identify potential compliance risks and develop sing and action plansAssist in drafting, revising, and updating procedures to reflect compliance processes and requirementsSupport the Director of Compliance in implementing, maintaining, and enhancing compliance controls and programs to support business objectives, growth, and innovationSupport the Compliance Leadership Team on a variety of projects and tasks as neededInvestigate potential compliance violations and recommend appropriate actionsManage day-to-day work, including ad hoc requests and matters that arise during the week

Qualifications

Minimum Qualifications:

Bachelor’s degree4-7 years of experience working at an investment advisory or broker-dealer firmWorking knowledge of the Investment Advisers Act of 1940 and an investment advisory firm’s regulatory requirementsWorking knowledge of the SEC Marketing RuleHighest 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 organizedRIA advertising/marketing material and/or RFP reviewComfort and ability to work and communicate effectively across function areasStrong interpersonal skills, professionalism, ability to maintain confidentialityAbility to work both independently and in a team environment; proactive, with the ability to independently carry out projects to their completionProficiency in MS Office & Microsoft 365 (Word, Excel, PowerPoint, Outlook, SharePoint, Teams)Experience with marketing review systems and toolsExperience with MyComplianceOffice or other compliance reporting systems a plusExposure to one or more Investment Advisor portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plusSeries 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.

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 relationshipsInstinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex informationA strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challengesInherent desire to give back to our communities and enrich the lives of those around usAn other-centered mindsetIntegrity 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.