CAPTRUST · 8 hours ago
Senior Associate Compliance
Raleigh, NC
Full-time
Onsite
Mid, Senior Level
3+ years expCAPTRUST is seeking a Compliance Senior Associate to join our Compliance Team. The role involves maintaining and implementing the firm’s compliance program while ensuring adherence to applicable laws and regulations, along with performing compliance testing and collaborating with other departments.
ConsultingCustomer ServiceFinancial ServicesRetirementWealth Management
Hiring Manager
Jeeymi Aguilar Escobar
Responsibilities
Coordinate and execute compliance testing, including collecting and analyzing data from internal systems to assist with compliance forensic reviews, and recommend corrective actions to strengthen compliance controls
Assist with Code compliance and employee preclearance requests, including OBAs, personal trading, employee accounts, G&E, conflicts, etc
Support firmwide compliance operations, 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 as directed by the Director of Compliance
Collaborate with individuals in other departments as needed
Become a proficient user of the firm’s compliance management systems and technologies
Qualification
Required
Bachelor's degree; preferably in accounting, economics, finance, business, pre-law, or data analytics
Must have 3-5 years of experience working at an investment advisory or broker-dealer firm with direct exposure to compliance
Highest standard of personal and professional ethics and integrity
Must have strong Excel skills, familiarity with data analytics techniques and processes
Preferred
Strong skills in written and oral communication, attention to detail, analysis, multitasking, prioritizing, and organization
Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
Self-starter that has worked in a professional setting previously and is willing to do what it takes to get things done and can manage their time efficiently
Someone who has worked in a Compliance Department previously and has touched upon a number of compliance program areas
Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
Strong Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams) expected
Basic knowledge of an investment advisory firm's regulatory requirements
Basic knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940
Experience with Schwab Compliance Technologies® or MyComplianceOffice, Archer, Power BI, or other compliance reporting systems would be a plus
Benefits
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)
Company
CAPTRUST
CAPTRUST Financial Advisors offers wealth management and retirement plan consulting services to individuals.
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
$312.5MKey Investors
Carlyle Global PartnersGTCR
2023-09-19Private Equity
2020-06-02Private Equity· $312.5M
Leadership Team
J. Fielding Miller
Chairman and CEO
Daniel George
Principal
Recent News
Rochester Business Journal
2025-10-16
Press Telegram
2025-09-21
Morningstar.com
2025-08-26
Company data provided by crunchbase