Senior Compliance Associate
CAPTRUST
Location: Charlotte, NC
Job Summary
WHO are we looking for?
CAPTRUST is seeking a Senior Compliance Associate to join our Compliance Team. You will work with the Director of Compliance to help maintain and implement the firm’s compliance program and drive adherence with applicable laws, regulations, and regulatory guidance.
Our ideal candidate has an eagerness to enhance their acumen in the investment adviser industry, drive efficiency in regulatory compliance programs, and develop expertise in Compliance testing, systems, and practices, and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment adviser motivated to focus exclusively on the best interests of their clients. They will assist with compliance functions relating to CAPTRUST’s investment advisory business with an emphasis on the firm’s controls, testing, and compliance operations and technology. In addition to the Director of Compliance, they will work with their immediate compliance team on a day-to-day basis. The individual should have knowledge about the basic compliance responsibilities of registered investment advisers. The candidate must maintain the highest professional and ethical standards, be well-organized, and capable of performing under tight deadlines. The ideal candidate is also someone who will be self-motivated to research and enhance their understanding of registered investment adviser rules, regulations, and best practices.
Duties and Responsibilities
• Become a proficient user of the firm’s compliance management systems and technologies
• Collect and analyze data from internal systems to assist with compliance forensic reviews
• Meet day-to-day workflow, including ad hoc requests/matters that arise during the week
• Assist with special assignments and perform other compliance department related duties as directed by the Director of Compliance
• Collaborate with individuals in other departments as needed
Qualifications
• Bachelor’s degree; preferably in accounting, pre-law, data analytics, or finance
• 3-5 years of experience working at an investment advisory firm with direct or indirect exposure to compliance
Knowledge, Skills & Abilities
• Strong skills in written and oral communication, attention to detail, analysis, multitasking, prioritizing, and organization
• Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
• Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
• Intermediate Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams) expected
• Basic knowledge of an investment advisory firm’s requirements
Basic knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940
• Experience with Schwab Compliance Technologies® or MyComplianceOffice or other compliance reporting systems would be a plus
Highest standard of personal and professional ethics and integrity
Advanced Excel skills and familiarity with data analytics techniques and processes
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 + Virgin Pulse wellness platform
- 401(k) program with a 5% employer match + financial planning for colleagues
WHERE will you be working?
4201 Congress Street, #160, Charlotte, NC 28209 OR 4208 Six Forks Rd #1700 | Raleigh, NC 27609
Please apply at https://www.captrust.com/careers/ or send your resume to karin.dennis@captrust.com.