Compliance Manager

Capital Investment Advisors•Atlanta, GA

1d•Hybrid

About The Position

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.

Requirements

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
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

Nice To Haves

IACCP® designation a plus

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