Compliance Manager

At Capital Investment Advisors (CIA), we strive to help clients reach their goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm headquartered in Atlanta with offices throughout the U.S. Our advisors in Georgia, Florida, Colorado, Texas, and Arizona provide clients with a full range of financial advice. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives.  

Our tight-knit team brings together compliance professionals, financial advisors, investment associates, client service managers and associates, operations specialists, business development professionals, and marketing team members, all working collaboratively to help deliver an exceptional client experience. Our Leadership Team is dedicated to fostering employee growth both professionally and personally, and to making every CIA experience meaningful and memorable.  

Compliance Manager

We are looking for an ethical, team-oriented Compliance Manager to strengthen and elevate our compliance infrastructure. Reporting to the Compliance Director and partnering closely with the Chief Compliance Officer, this role will assume ownership of major compliance program areas and will serve as a key contributor within the compliance function.

The ideal candidate possesses a strong working knowledge of the Investment Advisers Act of 1940, including the regulatory requirements applicable to SEC registered investment advisers and other relevant regulations, and is comfortable holding team members at all levels of the organization accountable. The Compliance Manager demonstrates an unwavering commitment to maintaining and enhancing compliance standards, while also being respected by team members as a positive and approachable resource who supports them in their daily interactions with clients.

This position is based in our Atlanta, GA office (Sandy Springs) and will require occasional travel to other office locations. This position is eligible for a hybrid work schedule after completion of a successful introductory period. 

Core Responsibilities: 

• Own and manage the Advertising & Marketing review responsibilities for the compliance program, experience with and a strong understanding of the SEC’s Marketing Rule is preferred
• Lead third-party manager and alternative investment oversight
• Provide compliance and regulatory guidance for new business initiatives, technology platforms, marketing strategies, and expansion efforts
• Participate in early-stage strategic discussions to ensure regulatory alignment prior to launch
• Coordinate and oversee the Asset Management Oversight Committee (AMOC) and Advisor Scorecard programs, as well as other audit work and internal compliance reviews
• Support DOL PTE 2020-02 rollover documentation and retrospective review
• Contribute to Rule 206(4)-7 annual review and required regulatory filings
• Support SEC examinations, including gathering documentation and drafting responses
• Enhance compliance workflows and strengthen documentation standards
• Mentor junior compliance staff and elevate team capability
  
  

Skills & Qualifications: 

• 5-8 years of experience in an SEC-registered RIA (or FINRA) compliance role
• Direct SEC exam experience preferred
• Strong knowledge of the Advisers Act, Form ADV, Marketing Rule, Code of Ethics, and portfolio oversight; SEC marketing review experience preferred
• Bachelor’s degree from an accredited university
• IACCP® designation a plus
• Systems-oriented mindset with experience improving workflows
• Excellent written and verbal communication skills
• Attentive to detail while maintaining a big picture perspective
• Handles confidential and highly sensitive information with ultimate discretion
• Demonstrated ability to exercise independent regulatory judgment in a fast-paced, growth-oriented environment
• Self-starter with the ability to execute tasks and complete projects and audit work with little oversight 
• Excellent ability to manage competing priorities  
• Thinks strategically to make informed decisions with the firm’s best interest in mind
• Committed to a culture of compliance 
• Exhibits the Capital Investment Advisors’ five Core Values in everything they do 
  
  

Capital Investment Advisors would like to thank all applicants, however, only those who qualify for an interview will be contacted. Capital Investment Advisors is committed to a policy of equal employment opportunity and will not discriminate against any applicant or employee based on race, color, religion, national origin, sex, age, disability, veteran or military status, genetic information, or any other legally-recognized protected basis under federal, state, or local law.