Capital Wealth Planning, LLC · 3 days ago
Assistant Director of Compliance & Investment Operations
Naples, FL
Full-time
Onsite
Mid, Senior Level
$80K/yr - $85K/yr
5+ years expCapital Wealth Planning is a third-party asset manager who offers its investment strategies to other firms in a sub-advisory capacity. We are seeking an Assistant Director of Compliance & Investment Operations to support and enhance core business functions across Operations, Compliance, Marketing, Reporting, and Analytics functions. This versatile role offers high visibility and cross-functional collaboration to shape firm-wide decision-making through data-driven insights and regulatory expertise.
FinanceFinancial ServicesWealth Management
Responsibilities
Understand details of the firm’s investment strategies
Contribute to weekly and quarterly market and strategy commentaries
Review/update the firm’s marketing materials
Research/analyze to provide data for new marketing initiative and materials
Calculate and maintain performance composites in line with the Global Investment Performance Standards for all of the firm’s investment strategies
Complete quarterly and annual due diligence questionnaires on the firm and its investment strategies
Put together RFP packets for potential clients
Track internal company analytics
Ensure ongoing compliance with the Investment Advisers Act of 1940, SEC rules, and other applicable federal securities laws
Conduct compliance monitoring, testing, and reporting
Assist with regulatory reporting and regulatory filings
Ensure firm’s data is accurately reported to various third-party databases
Maintain documentation according to the firm’s policies and procedures
Collaborate and strategize with leadership to implement and produce effective internal and external partnerships
Champion best practices across all departments
Perform other duties as assigned or required
Qualification
Required
5-7+ of relevant compliance and operations work experience within the financial services industry
Investment Adviser Certified Compliance Professional (IACCP®) designation or willingness to obtain
Bachelor's degree in finance or related field required
Proficiency with Microsoft Excel, Word, and PowerPoint
Strong verbal and written communication skills
Ability to communicate regulatory concepts to non-compliance individuals
Experience in creating and maintaining cross-functional partner relationships
Resourceful nature; self-motivated and self-directed in accomplishing tasks
Strong analytical skills and knowledge of the financial services industry
Preferred
Experience with RIAs is preferred
Proficiency using Orion or a similar portfolio accounting system is preferred
Proficiency using Redtail or a similar CRM system is preferred
Experience with SMAs and ETFs is preferred
Benefits
Comprehensive health benefits
PTO
401(k) with company matching
More
Company
Capital Wealth Planning, LLC
Capital Wealth Planning, LLC (CWP) is a fee-based, fiduciary, SEC Registered Investment Adviser.
11-50 employees
Funding
Current Stage
Early StageLeadership Team
Kevin Simpson
Founder and Chief Investment Officer at Capital Wealth Planning, LLC
Louis Albenga, IACCP®
Chief Compliance Officer
Recent News
2025-11-03
Morningstar.com
2025-09-27
2025-09-26
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