Senior Compliance Associate
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. We are looking for an ethical, team-oriented Senior Compliance Associate to strengthen and elevate our compliance infrastructure. Reporting to the Compliance Director and partnering closely with members of the Compliance Team, this role will support and help administer key areas of the firm’s compliance program while serving as a trusted compliance resource across the organization. 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 providing compliance guidance and escalating concerns when necessary. The Senior Compliance Associate 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+ years of experience in an SEC-registered investment adviser or broker-dealer compliance role
- Strong knowledge of the Advisers Act, Form ADV, Marketing Rule, Code of Ethics, portfolio management oversight, and fiduciary obligations; 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
- Strong attention to detail while maintaining a big picture perspective
- Discretely handles confidential and highly sensitive information
- Possesses a demonstrated ability to exercise independent regulatory judgment in a fast-paced, growth-oriented environment
- Self-starter with the ability to successfully execute tasks, independently complete projects and effectively conduct audit work with minimal oversight
- Excellent ability to manage competing priorities
- Exercises sound judgment and considers the firm’s best interest when making decisions and carrying out responsibilities
- Committed to a culture of compliance
- Exhibits the Capital Investment Advisors’ five Core Values in everything they do
Nice To Haves
- Direct SEC exam experience preferred
- IACCP® designation a plus
Responsibilities
- Own and manage Advertising & Marketing review responsibilities within the compliance program, strong experience with and 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
- Provide compliance support and regulatory input for technology platforms, marketing strategies, and other business initiatives and expansion efforts
- Coordinate and support 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
- Assist with onboarding and development of newer team members
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What This Job Offers
Job Type
Full-time
Career Level
Senior
