Senior Compliance Manager at CAPTRUST · Charlotte, NC · Joined
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Senior Compliance Manager
CAPTRUST · Charlotte, NC · Just now · 0 applicants
NewOn-siteFull-timeManager
Pay
$140k–$220kListed
Workplace
On-site
Job type
Full-time
Level
Manager
Team: Compliance · Source: jobright · Posted by joined-scrapper
About the role
CAPTRUST is seeking a Senior Compliance Manager to lead enterprise compliance and broker-dealer supervisory processes, developing policies, testing, training, communications surveillance, regulatory filings, and examinations while mitigating regulatory risk. The role requires deep knowledge of SEC and FINRA regulations, strong analytical and communication skills, and the ability to work independently.
What you’ll do
Oversee enterprise compliance and broker-dealer supervisory processes
Develop and maintain compliance policies
Conduct compliance testing and forensic auditing
Deliver compliance training and communications surveillance
Manage regulatory filings and examinations
Advance compliance technology initiatives
What you’ll need
10+ years of compliance experience at an investment advisory firm and/or broker-dealer
4-year college degree or equivalent combination of education and experience
Working knowledge of the Investment Advisers Act, Securities Exchange Act, and FINRA Rules
Ability to work independently and assess information conceptually and analytically
Intermediate to advanced MS Excel skills
Experience with Global Relay, MCO, Red Oak, Archer and other compliance technologies
Original job description
CAPTRUST is seeking a Senior Compliance Manager to support enterprise compliance and broker-dealer supervisory processes and mitigate regulatory risk. The role develops and oversees compliance policies, testing, training, communications surveillance, regulatory filings, examinations, and compliance technology initiatives.This position requires the…