Senior Compliance Manager

Overview

WHO are we looking for?

CAPTRUST is seeking a Senior Compliance Manager to join our Compliance Team. The Senior Compliance Manager will be responsible for a variety of key enterprise compliance and broker-dealer supervisory processes and procedures required by regulation and assist in regulatory risk mitigation. This position requires the individual to be able to work independently, assess information – both conceptually and analytically as well as providing insight and guidance to improve/enhance our regulatory compliance program.

The ideal candidate will have the ability to operate effectively in evolving environments while balancing regulatory requirements with business objectives.

Responsibilities

• Manage the development, maintenance, and periodic review of compliance policies, procedures, and related governance documents; coordinate policy updates to address regulatory changes, business developments, and emerging risks.
• Develop and execute risk-based compliance testing and monitoring activities; conduct reviews to assess adherence to firm policies, regulatory requirements, and internal controls; preparation and presentation of results to assist with annual compliance program review reports.
• Support the development, implementation, and administration of the firm’s compliance training program, including new hire onboarding, annual compliance education, targeted regulatory updates, continuing education, and role-specific training initiatives.
• Oversee the firm’s electronic communications monitoring and surveillance program, including reviews of email, Teams, approved text messaging platforms, social media, and other business communication channels. Analyze surveillance results, investigate potential issues, document findings, and coordinate appropriate follow-up and remediation activities.
• Assist with regulatory examinations, audits, due diligence reviews, and information requests.
• Coordination with Compliance Directors to review and assist in improving Compliance processes & procedures.
• Manage a team and/or projects, as needed.
• Assist on special projects, ad hoc assignments, and other compliance-related matters as needed and as directed by Compliance Leadership.

Qualifications

Minimum Qualifications:

• 10+ years of experience working at an investment advisory firm and/or broker-dealer with direct experience in compliance
• Completion of a four-year college degree or equivalent years of relevant experience
• Highest standard of personal and professional ethics and integrity
• Desired Qualifications/Skills: Demonstrable working knowledge of industry regulations: The Investment Advisers Act of 1940 and the Securities Exchange Act of 1934, FINRA Rules
• Compliance certifications (CSCP, CCEP, CICCP, IACCP, CRCP, etc.) a plus
• Regulatory licensing (7 and 66, 65, 24, etc.) a plus
• Forensic auditing or testing experience
• Intermediate to advanced knowledge of MS Excel
• Experience with Global Relay, MCO, Red Oak, Archer and other Compliance technologies
• Excellent written communication skills
• Business partnership and collaborative influence
• Strategic problem solving in ambiguous environments
• 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?
• 4201 Congress St #160 | Charlotte, NC 28209
• OR
• 4208 Six Forks Road Ste 1700 | Raleigh, North Carolina 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. #mid-senior
• This position will remain open until filled.

Responsibilities

• Manage the development, maintenance, and periodic review of compliance policies, procedures, and related governance documents; coordinate policy updates to address regulatory changes, business developments, and emerging risks.
• Develop and execute risk-based compliance testing and monitoring activities; conduct reviews to assess adherence to firm policies, regulatory requirements, and internal controls; preparation and presentation of results to assist with annual compliance program review reports.
• Support the development, implementation, and administration of the firm’s compliance training program, including new hire onboarding, annual compliance education, targeted regulatory updates, continuing education, and role-specific training initiatives.
• Oversee the firm’s electronic communications monitoring and surveillance program, including reviews of email, Teams, approved text messaging platforms, social media, and other business communication channels. Analyze surveillance results, investigate potential issues, document findings, and coordinate appropriate follow-up and remediation activities.
• Assist with regulatory examinations, audits, due diligence reviews, and information requests.
• Coordination with Compliance Directors to review and assist in improving Compliance processes & procedures.
• Manage a team and/or projects, as needed.
• Assist on special projects, ad hoc assignments, and other compliance-related matters as needed and as directed by Compliance Leadership.

Qualifications

Minimum Qualifications:

• 10+ years of experience working at an investment advisory firm and/or broker-dealer with direct experience in compliance
• Completion of a four-year college degree or equivalent years of relevant experience
• Highest standard of personal and professional ethics and integrity
• Desired Qualifications/Skills: Demonstrable working knowledge of industry regulations: The Investment Advisers Act of 1940 and the Securities Exchange Act of 1934, FINRA Rules
• Compliance certifications (CSCP, CCEP, CICCP, IACCP, CRCP, etc.) a plus
• Regulatory licensing (7 and 66, 65, 24, etc.) a plus
• Forensic auditing or testing experience
• Intermediate to advanced knowledge of MS Excel
• Experience with Global Relay, MCO, Red Oak, Archer and other Compliance technologies
• Excellent written communication skills
• Business partnership and collaborative influence
• Strategic problem solving in ambiguous environments
• 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?
• 4201 Congress St #160 | Charlotte, NC 28209
• OR
• 4208 Six Forks Road Ste 1700 | Raleigh, North Carolina 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. #mid-senior
• This position will remain open until filled.