What are the responsibilities and job description for the Compliance Manager position at CAPTRUST?
WHO are we looking for?
CAPTRUST is seeking a Compliance Manager to join our Compliance Team. The Compliance Manager will be responsible for a variety of important monitoring processes and procedures, not only required by regulation, but also to assist in the regulatory risk mitigation. The ideal candidate has a strong, working knowledge of the compliance responsibilities of an SEC-registered investment advisor, including managing a Code of Ethics program. This position requires the individual to be able to work independently, manage a small team, assess information – both conceptually and analytically, as well as providing insight and guidance to improve/enhance our regulatory compliance program. The candidate must maintain the highest professional and ethical standards, be well-organized and able to prioritize both their own work and a team’s work, and be capable of meeting tight deadlines.
Responsibilities
Minimum Qualifications:
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:
4208 Six Forks Rd #1700 | Raleigh, NC 27609
OR
4201 Congress Street | 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:
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
CAPTRUST is seeking a Compliance Manager to join our Compliance Team. The Compliance Manager will be responsible for a variety of important monitoring processes and procedures, not only required by regulation, but also to assist in the regulatory risk mitigation. The ideal candidate has a strong, working knowledge of the compliance responsibilities of an SEC-registered investment advisor, including managing a Code of Ethics program. This position requires the individual to be able to work independently, manage a small team, assess information – both conceptually and analytically, as well as providing insight and guidance to improve/enhance our regulatory compliance program. The candidate must maintain the highest professional and ethical standards, be well-organized and able to prioritize both their own work and a team’s work, and be capable of meeting tight deadlines.
Responsibilities
- Assist Compliance Director in managing Code of Ethics program, including: personal securities trading, outside business activities, gifts & entertainment, conflicts of interest, private investments, attestations, certifications, and political contributions
- Manage a small team of Compliance colleagues
- Contribute to enterprise-wide Compliance program, as needed
- Serve as a key point of contact for Code of Ethics escalations
- Coordinate with Compliance Directors to review and assist in improving Compliance Processes & Procedures
- Contribute to policies and procedure documents
- Assist with oversight of electronic communications monitoring, as needed
- Other duties, as assigned
Minimum Qualifications:
- 8 years of experience working at an investment advisory firm with direct exposure to compliance.
- Must have prior experience in Code of Ethics program management.
- Prior experience administering Code of Ethics software solutions (e.g., MyComplianceOffice) preferred.
- Bachelor’s degree.
- Highest standard of personal and professional ethics and integrity.
- Demonstrable working knowledge of industry regulations: The Investment Advisers Act of 1940 and the Securities Exchange Act of 1934.
- Excellent time management and organization.
- Ability to work independently, multi-task, and prioritize effectively, including prioritizing for your team.
- Excels at working in a fast-growth environment.
- Nice to have: FINRA Series 7 and 24 licenses.
- Intermediate to advanced knowledge of MS Excel.
- Excellent communication skills.
- Highly motivated and goal oriented, volunteers for and shows initiative on tasks and projects.
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)
4208 Six Forks Rd #1700 | Raleigh, NC 27609
OR
4201 Congress Street | 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 relationships
- Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
- A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
- Inherent desire to give back to our communities and enrich the lives of those around us
- An other-centered mindset
- Integrity through maintaining objectivity
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