Compliance Director - Raleigh
Overview:
WHO are we looking for?
CAPTRUST is seeking a Compliance Director who will have responsibility for regulatory compliance matters for our firm. The Compliance Director will lead retail and institutional advisory compliance functions and report to the Chief Compliance Officer.The candidate will lead a team of compliance professionals, design and implement advisory compliance programs and controls, and support the evolution and expansion of CAPTRUST’s compliance department. The candidate will partner with compliance and control-side colleagues and other senior executives across the firm to maintain and enhance a robust and functional compliance program.
The applicant should be a self-starter who is capable of balancing risk, speed, and accuracy to address complex problems, as well as work closely with all teams throughout the firm. Strong communication skills, both written and oral, are essential given the breadth of the business and the complexity of the role.
Responsibilities:
Job Responsibilities:
- Oversee and implement advisory compliance functions and contribute to the regulatory compliance program for CAPTRUST across the institutional, wealth, and foundation and endowment offerings, and for all CAPTRUST affiliated entities, including the registered investment adviser, broker-dealer, and related businesses
- Lead the advisory compliance team and coordinate coverage across business functions, including marketing, private investment funds, insurance products, trading
- Lead compliance investigations, including with respect to client complaint handling and financial crime, and regulatory inquiries; support testing and monitoring
- Contribute to regulatory examinations
- Contribute to the firm’s enterprise risk management efforts
- Provide advisory and strategic leadership, including guidance on evolving best practices while remaining apprised of regulatory developments and adjust compliance policies and practices accordingly
- Coordinate with other senior leaders of the firm on relevant matters such as cyber security, enterprise risk, advice to institutional, wealth, and foundation/endowment advisory broker-dealer services
- Consider and address related ancillary services such as actuarial, tax, participant education, multi-family office services, and related regulatory impacts
Qualifications:
Minimum Qualifications:
- Bachelor’s degree
- Prior experience in a senior compliance role with significant responsibility for a complex investment advisor
- Strong written and oral communication skills
- Strong organizational skills including adapting priorities and meeting deadlines
- 15+ years’ experience in compliance and/or legal regulatory for financial services
Desired Qualifications/Skills:
- Master’s degree, Juris Doctorate, and/or advanced compliance professional designations
- Experience in compliance for registered investment advisors, broker-dealers, private investment funds, multi-family offices
- FINRA Series 24 or 53
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:
- Employee ownership opportunities
- Brick Bonus success sharing program
- Comprehensive health coverage + Virgin Pulse wellness platform
- 401(k) program with a 5% employer match + financial planning for colleagues
WHERE will you be working?
Any CAPTRUST office location, with preference given to Raleigh, NC
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.
CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law.CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #director