Assistant Director of Compliance & Investment Operations

Job Description:

Capital Wealth Planning is a third-party asset manager who offers its investment strategies to other firms in a sub-advisory capacity. We are seeking an Assistant Director of Compliance & Investment Operations, to support and enhance core business functions across Operations, Compliance, Marketing, Reporting, and Analytics functions. This versatile role offers high visibility, cross-functional collaboration, and the opportunity to shape firm-wide decision-making through data-driven insights and regulatory expertise.

Key Responsibilities:

·        Understand details of the firm’s investment strategies.

• Contribute to weekly and quarterly market and strategy commentaries.

·        Review/update the firm’s marketing materials.

·        Research/analyze to provide data for new marketing initiative and materials.

• Calculate and maintain performance composites in line with the Global Investment Performance Standards for all of the firm’s investment strategies.
• Complete quarterly and annual due diligence questionnaires on the firm and its investment strategies.
• Put together RFP packets for potential clients.
• Track internal company analytics.
• Ensure ongoing compliance with the Investment Company Act of 1940, SEC rules, and other applicable federal securities laws.
• Conduct compliance monitoring, testing, and reporting.
• Assist with regulatory reporting and regulatory filings.
• Ensure firm’s data is accurately reported to various third-party databases.

·        Maintain documentation according to the firm’s policies and procedures.

• Collaborate and strategize with leadership to implement and produce effective internal and external partnerships.
• Champion best practices across all departments.
• Perform other duties as assigned or required.

Essential Business Experience and Technical Skills:

• 5-7 of relevant compliance and operations work experience within the financial services industry. Experience with RIAs is preferred.
• Investment Adviser Certified Compliance Professional (IACCP®) designation or willingness to obtain.
• Bachelor’s degree in finance or related field required.
• Proficiency with Microsoft Excel, Word, and PowerPoint.
• Strong verbal and written communication skills.
• Ability to communicate regulatory concepts to non-compliance individuals.
• Proficiency using Orion or a similar portfolio accounting system is preferred.
• Proficiency using Redtail or a similar CRM system is preferred.
• Experience in creating and maintaining cross-functional partner relationships.
• Resourceful nature; self-motivated and self-directed in accomplishing tasks.
• Strong analytical skills and knowledge of the financial services industry - experience with SMAs and ETFs is preferred.

Salary:

$80,000 - $85,000

Benefits:

·        We offer comprehensive health benefits, PTO, 401(k) with company matching, and more.

Schedule:

• M-F 8:30-5:00

Work Location:

·        Onsite - Naples, FL

·        This is NOT a remote position.