Senior Associate Compliance

Captrust • Charlotte, NC

1d • Onsite

About The Position

CAPTRUST is seeking a Compliance Senior Associate to join our Compliance Team. You will work with the Director of Compliance to help maintain and implement the firm’s compliance program and drive adherence with applicable laws, regulations, and regulatory guidance. Our ideal candidate has an eagerness to enhance their acumen in the investment adviser industry, drive efficiency in regulatory compliance programs, and develop expertise in Compliance testing, systems, and practices, and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment adviser motivated to focus exclusively on the best interests of their clients. They will assist with compliance functions relating to CAPTRUST’s investment advisory business with an emphasis on the firm’s controls, testing, Code of Ethics, and compliance operations and technology. In addition to the Director of Compliance, they will work with their immediate compliance team on a day-to-day basis. The individual should have knowledge about the basic compliance responsibilities of registered investment advisers. The candidate must maintain the highest professional and ethical standards, be well-organized, and capable of performing under tight deadlines. The ideal candidate is also someone who will be self-motivated to research and enhance their understanding of registered investment adviser rules, regulations, and best practices.

Requirements

• Bachelor’s degree; preferably in accounting, economics, finance, business, pre-law, or data analytics
• Must have 3-5 years of experience working at an investment advisory or broker-dealer firm with direct exposure to compliance.
• Highest standard of personal and professional ethics and integrity
• Must have strong Excel skills, familiarity with data analytics techniques and processes

Nice To Haves

• Strong skills in written and oral communication, attention to detail, analysis, multitasking, prioritizing, and organization
• Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
• Self-starter that has worked in a professional setting previously and is willing to do what it takes to get things done and can manage their time efficiently
• Someone who has worked in a Compliance Department previously and has touched upon a number of compliance program areas
• Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
• Strong Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams) expected
• Basic knowledge of an investment advisory firm’s regulatory requirements
• Basic knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940
• Experience with Schwab Compliance Technologies® or MyComplianceOffice, Archer, Power BI, or other compliance reporting systems would be a plus

Responsibilities

• Testing and Audits – Coordinate and execute compliance testing, including collecting and analyzing data from internal systems to assist with compliance forensic reviews, and recommend corrective actions to strengthen compliance controls
• Code of Ethics - Assist with Code compliance and employee preclearance requests, including OBAs, personal trading, employee accounts, G&E, conflicts, etc
• Teamwide Tasks – Support firmwide compliance operations, day-to-day workflow, including ad hoc requests/matters that arise during the week
• Assist with special assignments and perform other compliance department related duties as directed by the Director of Compliance
• Collaborate with individuals in other departments as needed
• Become a proficient user of the firm’s compliance management systems and technologies

Benefits

• 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)

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 1,001-5,000 employees