Regulatory & Operations Associate — Wealth Planning

Capital Wealth Planning, LLC; Naples (FL); On-site; USD 55,000 - 60,000; Full time

Benefits offered by this job

Health benefits

PTO

401(k) with company matching

Job summary

Capital Wealth Planning, LLC is seeking a Compliance & Operations Associate to support day-to-day operations and assist the CCO with administering the firm’s compliance program. You will help ensure regulatory compliance, support operations, and maintain efficient policies and procedures.

The ideal candidate is highly organized, detail-oriented, and able to balance multiple priorities, with 1–3 years in financial services, a finance-related degree, and proficiency in Excel, Word, and PowerPoint.

Qualifications

• 1-3 years of relevant work experience within the financial services industry is preferred.
• Proficiency with Microsoft Excel, Word, and PowerPoint is required.
• Strong verbal and written communication skills.
• Experience using Orion or a similar portfolio accounting system is preferred.
• Experience using Redtail or a similar CRM system is preferred.
• Experience with a Registered Investment Adviser, broker-dealer, or financial institution is a plus.
• Knowledge of SMAs and ETFs is preferred.

Responsibilities

• Ensure ongoing compliance with the Investment Adviser Act of 1940, the Investment Company Act of 1940, SEC rules, and other applicable federal securities laws.
• Conduct compliance testing to evaluate the effectiveness of internal controls for compliance with applicable regulatory requirements and corporate policy.
• Maintain documentation according to the firm's policies and procedures.
• Assist with regulatory reporting and regulatory filings - Form ADV 1, 2, 3, 13F, 13H, N-PX, etc.
• Maintain compliance calendars and monitor regulatory deadlines.
• Assist with the annual compliance review.
• Review and track employee Code of Ethics reporting, annual certifications, and personal securities transactions.
• Respond to internal and external inquiries.
• Ensure firm's data is accurately reported to various third-party databases.
• Complete quarterly and annual due diligence questionnaires on the firm and its investment strategies.
• Maintain client records and data integrity within the firm's CRM and portfolio accounting systems.
• Maintain existing and develop new standard operating procedures to improve efficiency and consistency.
• Coordinate requests and communicate with third parties to resolve operational issues.
• Maintain performance composites in line with the Global Investment Performance Standards.
• Perform other duties as assigned or required.

Skills

Excel

Word

PowerPoint

Communication

Education

Bachelor's degree in finance or related field

Tools

Orion

Redtail

Job description

Capital Wealth Planning, LLC is seeking a Compliance & Operations Associate to support day-to-day operations and assist the CCO with administering the firm’s compliance program. You will help ensure regulatory compliance, support operations, and maintain efficient policies and procedures.

The ideal candidate is highly organized, detail-oriented, and able to balance multiple priorities, with 1–3 years in financial services, a finance-related degree, and proficiency in Excel, Word, and PowerPoint.