Senior Compliance Manager

Overview

WHO are we looking for?

We are looking for a Senior Compliance Manager who will be responsible for leading the broker-dealer registrations and licensing compliance program for the firm. This role includes managing adherence to SEC, FINRA, and state insurance/securities licensing requirements. The ideal candidate manages the full lifecycle of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals, and works directly with regulatory bodies on regulatory exams and inquiries. This position requires the individual to be able to work independently and collaboratively, assess information both conceptually and analytically, and provide insight, guidance and leadership to support and evolve our regulatory compliance program. This role requires the ability to be flexible, work across teams, and support needs as they arise.

Responsibilities

• Oversee and execute all 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; manage 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
• Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and terminations
• Manage all regulatory Compliance filings as a primary responsibility
• Coordinate with Compliance Directors and CCO to maintain the governance framework for broker-dealer and registration activities, including maintaining and updating Written Supervisory Procedures (WSPs)
• Support the broker-dealer and registered investment advisor office inspection programs as needed
• Perform special projects, reporting, and research as required by the Compliance Director and CCO
• Lead, develop, and manage compliance professionals on the team. Prior people leader/team management experience required

Qualifications

Minimum Qualifications:

• Bachelor's degree or equivalent years of relevant work experience
• 10-15 years of experience working at an investment advisory firm with direct exposure to compliance
• Working knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's requirement
• FINRA Series 7 and 24 licenses

Desired Qualifications/Skills:

• Demonstrable working knowledge of industry regulations: FINRA rules, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934
• Extensive experience working at an RIA and broker-dealer
• Series 65 or 66 licenses (preferred)
• Intermediate to advanced knowledge of MS Excel
• Experience with FINRA Gateway/WebCRD
• Excellent communication skills and attention to detail

WHAT 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 27609

Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite

HOW 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 relationships
• Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
• A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
• Inherent desire to give back to our communities and enrich the lives of those around us
• An other-centered mindset
• Integrity through maintaining objectivity

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.

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. #director


This position will remain open until filled.