Senior Compliance Analyst
CAPTRUST
Senior Compliance AnalystCAPTRUST is seeking a Senior Compliance Analyst to join our Compliance Team. You will work with the Director of Compliance to maintain and implement the compliance program for an established federally registered investment advisor (RIA) and registered broker-dealer, and drive adherence with applicable laws, regulations, and regulatory guidance.The ideal candidate has previous experience with SEC, FINRA and state rules in support of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals. This position requires the individual to be able to work independently and collaboratively, assess information both conceptually and analytically, have the ability to be flexible, work across teams, and support additional projects and needs as they arise.The internal title for this role is intended to be Senior Analyst | Compliance.ResponsibilitiesSupport FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; support the licensing onboarding and offboarding process for employees and registered representatives.Monitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reporting.Review marketing and advertising materials, including social media and Requests for Proposal (RFPs), to confirm adherence to regulations and company policies.Collaborate with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and procedures.Support the broker-dealer and registered investment advisor office inspection programs as needed.Support financial crimes and fraud investigations.Quickly become proficient in the Firm's compliance systems.Analyze business processes, transactions, and other data to identify potential compliance risks and develop testing and action plans.Assist in drafting, revising, and updating procedures to reflect compliance processes and requirements.Support the Director of Compliance in implementing, maintaining, and enhancing compliance controls and programs to support business objectives, growth, and innovation.Support the Compliance Leadership Team on a variety of projects and tasks as needed.Investigate potential compliance violations and recommend appropriate actions.Manage day-to-day work, including ad hoc requests and matters that arise during the week.Assist with special assignments and perform other compliance related duties as directed.Ability to travel occasionally.QualificationsMinimum Qualifications:Bachelor's degree5-10 years of experience working at an investment advisory/broker-dealer firmWorking knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's regulatory requirementsHighest standard of personal and professional ethics and integrityDesired Qualifications/Skills:Strong written and oral communication skills, attention to detail, ability to analyze information, multi-task, manage competing priorities and stay organizedStrong interpersonal skills, professionalism, ability to maintain confidentialityAbility to work both independently and in a team environment; proactive, with the ability to independently carry out projects to their completionProficiency in MS Office & Microsoft 365 (Word, Excel, PowerPoint, Outlook, SharePoint, Teams)Working knowledge of an investment advisory firm's regulatory requirementsWorking knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940Experience with MyComplianceOffice or other compliance reporting systems a plusExposure to one or more Investment Adviser portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plusSeries 7/24 preferred, or willingness to obtain them within 6 months of hire.Ability to travel periodicallyWHAT can you expect from your career at CAPTRUST?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)WHERE will you be working?4208 Six Forks Rd #1700 | Raleigh, NC 27609Due to the nature of the role, this is not a remote or work from home position. #LI-OnsiteHOW do we build a world class organization one brick at a time?We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.Are you the next brick?To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:Ability to build successful, collaborative, and trusting relationshipsInstinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex informationA strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challengesInherent desire to give back to our communities and enrich the lives of those around usAn other-centered mindsetIntegrity through maintaining objectivityEEO/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.It is our intent to maintain a work environment that is free of harassment, discrimination, or retaliation because of sex (including pregnancy, childbirth, or other related medical conditions), gender, race (including hair texture or hairstyles associated with race), religion, color, national origin, ancestry, physical or mental disability, genetic information, age, sexual orientation, gender identity, gender expression, protected veteran status, uniformed service, or any other status protected by federal, state, or local laws.This position will remain open until filled.
- ...Regulatory Affairs Senior Associate Location: 1 N Waukegan Road, North Chicago, IL - hybrid Contract Length: 2 years (Potential Extension) The Senior Associate, RA CMC works with internal and external partners in order to deliver products to patients. Prepares CMC regulatory...SeniorContract workRemote work
$145k - $165k
...Maryland. This position ensures the legal, regulatory, operational, and risk management compliance of Human Resources programs, policies, practices, and systems. Serves as a senior subject matter expert and trusted advisor on Human Resources compliance matters,...SeniorRemote work- ...for you, read on, What We Are Looking For Aspida is seeking a skilled, self-motivated, and independent compliance professional for the role of Senior Compliance Analyst. The Senior Compliance Analyst is a senior-level compliance professional responsible for providing...SeniorFull timeContract workWork at officeRelocation3 days per week
- ...union philosophy of "People Helping People," join our team! Hybrid In-Office/Remote Position Position Overview The Regulatory Compliance Analyst position sits in the Regulatory Compliance team within Risk Management and is responsible for helping to ensure the Credit...SuggestedWork at officeRemote workFlexible hours
$148k - $194k
Make your mark for patientsWe are looking for a Senior Principal Programmer (Statistical Computing Environment Business Coordinator) who is collaborative, detail-oriented, and compliance-minded to join our Programming, Visualization and Reporting team, based inRaleigh,...SeniorPermanent employmentWork at officeLocal area$80k - $176k
Professional Licensed Engineer Seeking professional licensed engineer with 5 – 15 years of experience in the water industry. Background and experience in municipal or industrial water, wastewater, reclaimed water, stormwater, detailed design, utility management, operations...SeniorTemporary workWork at office- ...with embedded cyber resiliency and AI to protect today and enable tomorrow backed by the strength of the Cox family of companies.The Senior Principal Client Partner is responsible for owning and growing a portfolio of RapidScale’s most strategic enterprise clients. This...SeniorLocal areaRemote workVisa sponsorship
- ...est à la recherche d’un(e) Ingénieur(e) principal(e) de projet (Senior Project Lead Engineer) pour assumer la responsabilité technique... ...the mitigation of project risks.Ensure technical quality and compliance across contracts, engineering documentation, and project deliverables...SeniorFull timeLocal areaFlexible hours
- Job Title: Compliance Analyst Job Location: Charlotte, NC, 28202 Job Duration: 12 Months + Extension Summary: Responsibilities: Support continued development and rollout of the IT control framework, reporting and dashboards. Gather data from multiple sources, ensuring...
$230k - $295k
...Functional Execution at Scale: Partner across Engineering, Design, Compliance, and Operations to deliver growth-focused product releases and... ...an innovative infrastructure for money.Collaborating with senior product leadership and other product managers to align roadmaps...SeniorFlexible hours$123.5k - $229.5k
Technical Visionary For Next Generation Power Distribution Architectures Join an organization that ensures a more secure world through connecting and protecting our customers with inventive electrical solutions. This role can be located in Anoka, MN / St. Louis, ...SeniorMinimum wageFull timeTemporary workWork at officeLocal areaRelocation packageFlexible hoursShift work- ...for the better? Geosyntec has an exciting opportunity for a Senior or Principal Natural Resources Scientist in Raleigh, NC or Wilmington... ...monitoring; Preparation of environmental documents for compliance with the National Environmental Policy Act (NEPA) including...SeniorFor subcontractorRemote work
- About the OpportunityThe Cloud Senior Principal Engineer serves as the organization's highest-level technical contributor and engineering... ...cloud security architecture, identity and access management, compliance requirements, governance frameworks, and risk mitigation...SeniorPart timeFor contractorsWork at office3 days per week
- ...highly accomplished Sr. Principal Mechanical Engineer to serve as a senior technical leader within our R&D and Engineering organization.... ...processes, standards, templates, and best practices. Ensure compliance with applicable safety and machine regulations including CE,...SeniorWork at officeFlexible hours
$131k - $185k
...base pay salary ranges: The targeted base salary pay range for Senior Consultant in Silicon Valley and San Francisco is $131,000 to $... ...modified at any time. We are committed to pay transparency and compliance with applicable laws. If you have questions or concerns about...SeniorTemporary workLocal area$158k - $217k
...Intelligence Platform with Slalom’s broader consulting, engineering, industry, and delivery capabilities. This role is ideal for a senior technical leader who can move comfortably between executive conversations, solution architecture, partner strategy, and hands-on technical...SeniorTemporary workLocal area$169.8k - $355.4k
Job Description The computer vision team is responsible for growing our capabilities in image analysis and recognition. Our goal is to enable customers to apply computer vision to solve their particular business problems with our assistance and expertise. In this role...SeniorTemporary workFlexible hours$80.9k - $127.05k
...product development, change assessment, US, EU and international regulatory submissions, commercial support, manufacturing support, compliance related activities, systems improvement, and other responsibilities aligned with global medical device regulations and the goals...Full timeTemporary workWork experience placementLocal areaImmediate startRemote workFlexible hours- ...extension of our clients' teams. About the Role We're seeking a Senior or Principal Medical Writer to join our collaborative, high-... ...understand project goals and ensure clarity, consistency, and compliance in all written materials. Provide strategic input on...SeniorFull timeLive inWork at officeRemote workFlexible hours
- ...patterns including Authorization Code PKCE Client Credentials and Refresh Token flowsCollaborate with cybersecurity teams to ensure compliance with security best practices and standardsDrive innovation by evaluating and integrating emerging security technologies and...Senior
- Dnpphoto is seeking an organized Event Manager in Concord, NC to lead end-to-end experiential marketing events, including trade shows, roadshows, and pop-up activations. You will orchestrate logistics, budgets, and cross-functional collaboration to deliver outstanding ...Senior
$118.3k - $219.8k
...best model for each legal use case. About the Role : As a Senior Consulting Principal AWS Cloud Engineer, you will provide... ...availability (HA) strategies using various AWS services. Security & Compliance Architecture Establish zero-trust security principles,...SeniorTemporary workLocal areaImmediate startRemote workFlexible hours- ...PNC is seeking a Senior Credit Risk Review Advisor to conduct independent assessments of credit exposures in Raleigh, NC. The role involves analyzing complex credit transactions, executing file reviews, and managing review engagements while providing expert risk insights...Senior
$38 - $48 per hour
DescriptionKforce has a client in Raleigh, NC that is seeking a UX Researcher to join their team.Summary:As a UX Researcher, you will play a crucial role in shaping user experiences by conducting impactful research, aligning with product objectives, and collaborating with...Senior- At Cadence, we hire and develop leaders and innovators who want to make an impact on the world of technology.Experienced Millimeter-Wave (mmWave) IC designer specialize in engineering high-frequency (30 GHz+) transceivers and components for 5G/6G communications, aerospace...SeniorFull time
- ...Senior Pharmacy Technician Location: Raleigh NC Job Type: 3 – 6 months Job Description/Requirements Performs reviews of prior approval requests submitted by enrolled providers. Escalates problems to appropriate personnel when needed. Performing under...SeniorWork at office
- Job Recommendation When you upload your resume, we provide job recommendations to you. Please confirm you have read and understood how your data may be processed pursuant to the Microsoft Data Privacy Notice and Transparency FAQ.Senior
- A respected Raleigh-based law firm is seeking an experienced Transactional / Estate Planning Paralegal to support their dynamic trusts, estates, and business transactions practice. The ideal candidate has over 5 years of experience, strong drafting and communication skills...Senior
- ...Tax Senior An excellent firm is hiring a Tax Senior immediately. This is an amazing opportunity to join a growing firm with the opportunity to move up. As a Tax Senior, you will be responsible for overseeing and managing a team of tax associates while developing...SeniorImmediate start
$126.2k - $264.1k
...Job Description We are seeking a highly experienced Senior Principal Technical Program Manager (TPM) to lead complex customer engagements... ...that require customized manufacturing, fulfillment, compliance, or operational support. Success in this role requires the ability...SeniorContract workTemporary workFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Compliance Analyst. Be the first to apply!
- regulatory specialist Raleigh, NC
- compliance officer Raleigh, NC
- coding compliance specialist Raleigh, NC
- aml compliance analyst Raleigh, NC
- compliance analyst Raleigh, NC
- medicare compliance specialist Raleigh, NC
- regulatory officer Raleigh, NC
- research compliance officer Raleigh, NC
- regulatory analyst Raleigh, NC
- regulatory compliance associate Raleigh, NC


