What are the responsibilities and job description for the Compliance Analyst - CAPTRUST position at National Society of Compliance Professionals?
CAPTRUST
Location: Raleigh, NC
Position Summary
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
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:
Location: Raleigh, NC
Position Summary
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 policies
- Collaborate with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and procedures
- Quickly become proficient in the Firm’s compliance systems
- Analyze business processes, transactions, and other data to identify potential compliance risks and develop testing and action plans
- Assist in drafting, revising, and updating procedures to reflect compliance processes and requirements
- Support the Director of Compliance in implementing, maintaining, and enhancing compliance controls and programs to support business objectives, growth, and innovation
- Support the Compliance Leadership Team on a variety of projects and tasks as needed
- Investigate potential compliance violations and recommend appropriate actions
- Manage day-to-day work, including ad hoc requests and matters that arise during the week
Minimum Qualifications:
- Bachelor’s degree
- 4-7 years of experience working at an investment advisory/broker-dealer firm
- Working knowledge of the Investment Advisers Act of 1940 and an investment advisory firm’s regulatory requirements
- Working knowledge of the SEC Marketing Rule
- Highest standard of personal and professional ethics and integrity
- Strong written and oral communication skills, attention to detail, ability to analyze information, multi-task, manage competing priorities and stay organized
- RIA advertising/marketing material and/or RFP review
- Comfort and ability to work and communicate effectively across function areas
- Strong interpersonal skills, professionalism, ability to maintain confidentiality
- Ability to work both independently and in a team environment; proactive, with the ability to independently carry out projects to their completion
- Proficiency in MS Office & Microsoft 365 (Word, Excel, PowerPoint, Outlook, SharePoint, Teams)
- Experience with marketing review systems and tools
- Experience with MyComplianceOffice or other compliance reporting systems a plus
- Exposure to one or more Investment Advisor portfolio management and/or trading systems (e.g.,
- Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plus
- Series 7/24, a plus
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)