Senior Compliance Leader – Regulatory Risk & Training

CAPTRUST; Charlotte (NC); On-site; USD 120,000 - 180,000; Full time

Job summary

CAPTRUST is seeking a Senior Compliance Manager to join our Compliance Team in Charlotte, NC. The role focuses on enterprise compliance and broker-dealer supervisory processes, offering independent assessment and guidance to strengthen the regulatory program.

The ideal candidate will bring 10+ years in compliance at an investment advisory firm or broker-dealer, with a track record of ethics and integrity, and strong knowledge of industry regulations.

Qualifications

• Completion of a four-year college degree or equivalent years of relevant experience.
• 10+ years of experience working at an investment advisory firm and/or broker-dealer with direct experience in compliance.
• Highest standard of personal and professional ethics and integrity.

Responsibilities

• Manage the development, maintenance, and periodic review of compliance policies, procedures, and related governance documents; coordinate policy updates to address regulatory changes, business developments, and emerging risks.
• Develop and execute risk-based compliance testing and monitoring activities; conduct reviews to assess adherence to firm policies, regulatory requirements, and internal controls; preparation and presentation of results to assist with annual compliance program review reports.
• Support the development, implementation, and administration of the firm’s compliance training program, including new hire onboarding, annual compliance education, targeted regulatory updates, continuing education, and role-specific training initiatives.
• Oversee the firm’s electronic communications monitoring and surveillance program, including reviews of email, Teams, approved text messaging platforms, social media, and other business communication channels. Analyze surveillance results, investigate potential issues, document findings, and coordinate appropriate follow-up and remediation activities.
• Assist with regulatory examinations, audits, due diligence reviews, and information requests.
• Coordination with Compliance Directors to review and assist in improving Compliance processes & procedures.
• Manage a team and/or projects, as needed.
• Assist on special projects, ad hoc assignments, and other compliance-related matters as needed and as directed by Compliance Leadership.

Skills

MS Excel

Written communication

Collaboration

Strategic problem solving

Regulatory knowledge

Leadership

Education

Bachelor's degree or equivalent

Tools

Global Relay

MCO

Red Oak

Archer

Job description

CAPTRUST is seeking a Senior Compliance Manager to join our Compliance Team in Charlotte, NC. The role focuses on enterprise compliance and broker-dealer supervisory processes, offering independent assessment and guidance to strengthen the regulatory program.

The ideal candidate will bring 10+ years in compliance at an investment advisory firm or broker-dealer, with a track record of ethics and integrity, and strong knowledge of industry regulations.