Investment Advisor Compliance Analyst

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Job description

CAPTRUST is an investment management-advisory firm headquartered in Raleigh, North Carolina. We provide investment advisory services to retirement plan fiduciaries, endowments and foundations and wealth planning services to executives, business owners, and families.
CAPTRUST operates as one unified practice where the backgrounds and perspectives of all colleagues are collectively leveraged to service our clients beyond expectation. We are building a world class organization "one brick at a time."
Please note that under our current policy only vaccinated colleagues are permitted in our offices during working hours.
Position Overview
The Investment Advisor Compliance Analyst will assist with compliance functions relating to our investment advisory business with an emphasis on the firm's private wealth client accounts.
The individual will work closely with Senior members of the Compliance Team on a day-to-day basis. The individual should have basic knowledge about the basic compliance responsibilities of SEC-registered RIAs and an eagerness to learn more.
Job Responsibilities

• Quickly become a proficient user of the firm's compliance management system ("MyComplianceOffice"), portfolio management system, CRM system, client custodian portals, contract mgt system, and DocuSign or other eSign solutions.
• Collect and analyze data from internal systems to assist with compliance forensic reviews
• Review and approve new account opening and requests for new or amended investment advisory agreements.
• Assist in the management of regulatory books and records
• Meet 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
• Some travel required
• Based on business need, this role is to be performed on-site; this is not a remote or hybrid work from home role
  

Minimum Qualifications

• 4-year college degree or combination of education and experience
• 3-5 years of experience working at an investment advisory firm with direct or indirect exposure to compliance.
  

Desired Qualifications/Skills

• Working knowledge of an investment advisory firm's requirements associated with the management of private wealth client accounts.
• Experience at a brokerage firm or insurance agency would be considered a plus
• Working knowledge of the Investment Advisers Act of 1940
• Experience with Schwab Compliance Technologies® or MyComplianceOffice or other compliance reporting systems
• Exposure to one or more Investment Adviser portfolio management and/or trading systems (e.g. Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River)
• Strong oral and written communication and analytical skills
• Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
• Highest standard of personal and professional ethics and integrity
• Strong attention to detail and ability to multitask and prioritize projects
• Proficiency in MS Office (Word, Excel, PowerPoint)
  

EEO/Diversity Statement
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
CAPTRUST is committed to provide employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination.