Senior Compliance & Regulatory Risk Lead

CAPTRUST; Raleigh (NC); On-site; USD 110,000 - 160,000; Full time

Job summary

CAPTRUST seeks a Senior Compliance Manager to join our Compliance Team. The role oversees enterprise compliance and broker-dealer supervision, developing governance, training, and monitoring programs while providing expert guidance to mitigate regulatory risk.

The position requires independent assessment, strategic thinking, and the ability to adapt in evolving environments to balance regulatory demands with business objectives.

Qualifications

• 10+ years in investment management compliance or broker-dealer settings.
• Experience with regulatory requirements impacting advisory and broker-dealer activities.
• Highest standard of ethics and integrity.

Responsibilities

• Develop, maintain, and review compliance policies and governance documents.
• Design and execute risk-based testing and monitoring activities.
• Lead the training program including onboarding and ongoing education.
• Oversee electronic communications monitoring and surveillance, with follow-up actions.
• Assist with regulatory examinations, audits, and information requests.
• Coordinate with Compliance Directors to improve processes and procedures.
• Manage a team and/or projects; contribute to special initiatives as needed.

Skills

Regulatory knowledge

Leadership

Analytical thinking

Policy development

Communication

Education

Bachelor's degree in a related field

Tools

Global Relay

MCO

Red Oak

Archer

Job description

CAPTRUST seeks a Senior Compliance Manager to join our Compliance Team. The role oversees enterprise compliance and broker-dealer supervision, developing governance, training, and monitoring programs while providing expert guidance to mitigate regulatory risk.

The position requires independent assessment, strategic thinking, and the ability to adapt in evolving environments to balance regulatory demands with business objectives.