WHO are we looking for?

CAPTRUST is seeking a Compliance Associate to join our Compliance Team. You will work with the Director of Compliance to help maintain and implement the Firm’s compliance program and drive adherence with applicable laws, regulations, and regulatory guidance. Our ideal candidate has an eagerness to enhance their acumen in the investment advisor industry, drive efficiency in regulatory compliance programs, and develop expertise in Compliance testing, systems, and practices, and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment advisor motivated to focus exclusively on the best interests of their clients. The individual will assist with compliance functions relating to CAPTRUST’s investment advisory business with an emphasis on compliance controls, testing, operations and technology. In addition to the Director of Compliance, the individual will work with their immediate compliance team on a day-to-day basis. The candidate must maintain the highest professional and ethical standards, be well-organized, and be capable of performing proactively and under tight deadlines. The ideal candidate is also someone who will be self-motivated to research and enhance their understanding of registered investment advisor rules, regulations, and best practices.

• Become a proficient user of the Firm’s compliance management systems and technologies
• Collect and analyze data from internal and external systems to assist with compliance reviews and other data analysis, as needed
• Complete day-to-day workflow, including ad hoc requests and matters that arise during the week
• Assist with special assignments and perform other compliance department related duties as indicated by the Director of Compliance
• Collaborate with individuals in other departments as needed

Minimum Qualifications:

• Bachelor’s degree; preferably in accounting, business, economics, pre-law, data analytics, or finance
• 0-2 years of experience working at an investment advisory firm or broker-dealer with direct or indirect exposure to compliance

Desired Qualifications/Skills:

• Highest standard of personal and professional ethics and integrity
• Intermediate Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams)
• Strong skills in written and oral communication, attention to detail, analysis, multitasking, prioritizing, and organization
• Excel/technical skills and familiarity with data analytics techniques
• Curious nature and strong desire to learn
• Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
• Ability to work both independently and in a team environment; proactive and able to independently carry out projects to their completion
• Basic knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and FINRA Rules a plus
• Experience with Schwab Compliance Technologies® or MyComplianceOffice or other compliance reporting systems a plus

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 + Personify Health wellness platform
• 401(k) program with a 5% employer match + financial planning for colleagues

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.

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. #associate