What are the responsibilities and job description for the Compliance Manager (COE) position at National Society of Compliance Professionals?
CAPTRUST
Location: Raleigh, NC or Charlotte, NC
Overview
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
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. Onsite
To apply: https://careers-captrust.icims.com/jobs/2331/compliance-manager/job OR send resume to karin.dennis@captrust.com
Location: Raleigh, NC or Charlotte, NC
Overview
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
- 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. Onsite
To apply: https://careers-captrust.icims.com/jobs/2331/compliance-manager/job OR send resume to karin.dennis@captrust.com