{"id":990241,"url":"https://alion.io/job/captrust-senior-compliance-analyst","title":"Senior Compliance Analyst","company":{"id":708258,"name":"CAPTRUST","domain":"captrust.com","url":"https://alion.io/company/captrust","size_band":"1001-5000","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"iCIMS","truth_index":null},"role":"Legal","role_family":"Legal","seniority":"senior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Raleigh, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":{"min_usd":86000,"max_usd":201000,"period":"year","method":"role_seniority_country_remote_cell","sample_n":2113},"experience_years_min":5,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Microsoft Office","optional":false},{"name":"Outlook","optional":false},{"name":"SharePoint","optional":false}],"status":"live","first_seen_at":"2026-09-17T02:06:20Z","employer_posted_date":"2026-09-20","last_verified_at":"2026-11-15T17:36:40Z","board_verified":true,"closed_at":null,"days_open":59,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":59},"description":"Overview\nWHO are we looking for?\nCAPTRUST is seeking a Senior Compliance Analyst to join our Compliance Team. You will work with the Director of Compliance to maintain and implement the compliance program for an established federally registered investment advisor (RIA) and registered broker-dealer, and drive adherence with applicable laws, regulations, and regulatory guidance.\nThe ideal candidate has previous experience with SEC, FINRA and state rules in support of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals. This position requires the individual to be able to work independently and collaboratively, assess information both conceptually and analytically, have the ability to be flexible, work across teams, and support additional projects and needs as they arise.\nThe internal title for this role is intended to be Senior Analyst | Compliance.\nResponsibilities\nSupport FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; support the licensing onboarding and offboarding process for employees and registered representatives.\nMonitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reporting.\nReview marketing and advertising materials, including social media and Requests for Proposal (RFPs), to confirm adherence to regulations and company policies.\nCollaborate with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and procedures.\nSupport the broker-dealer and registered investment advisor office inspection programs as needed.\nSupport financial crimes and fraud investigations.\nQuickly become proficient in the Firm’s compliance systems.\nAnalyze business processes, transactions, and other data to identify potential compliance risks and develop testing and action plans.\nAssist in drafting, revising, and updating procedures to reflect compliance processes and requirements.\nSupport the Director of Compliance in implementing, maintaining, and enhancing compliance controls and programs to support business objectives, growth, and innovation.\nSupport the Compliance Leadership Team on a variety of projects and tasks as needed.\nInvestigate potential compliance violations and recommend appropriate actions.\nManage day-to-day work, including ad hoc requests and matters that arise during the week.\nAssist with special assignments and perform other compliance related duties as directed.\nAbility to travel occasionally.\nQualifications\nMinimum Qualifications:\nBachelor’s degree\n5-10 years of experience working at an investment advisory/broker-dealer firm\nWorking knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s regulatory requirements\nHighest standard of personal and professional ethics and integrity\nDesired Qualifications/Skills:\nStrong written and oral communication skills, attention to detail, ability to analyze information, multi-task, manage competing priorities and stay organized\nStrong interpersonal skills, professionalism, ability to maintain confidentiality\nAbility to work both independently and in a team environment; proactive, with the ability to independently carry out projects to their completion\nProficiency in MS Office & Microsoft 365 (Word, Excel, PowerPoint, Outlook, SharePoint, Teams)\nWorking knowledge of an investment advisory firm’s regulatory requirements\nWorking knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940\nExperience with MyComplianceOffice or other compliance reporting systems a plus\nExposure to one or more Investment Adviser portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plus\nSeries 7/24 preferred, or willingness to obtain them within 6 months of hire.\nAbility to travel periodically\nWHAT can you expect from your career at CAPTRUST?\nOur 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.\nOur Employee Benefits Package shows how much we value our team. Some benefits include:\nCompany discretionary bonus.\nHealth, dental, and vision coverage, employer 401(k) plan and company match, health savings accounts, flexible spending accounts, and voluntary supplemental plans subject to plan terms.\nCompany-paid benefits such as life insurance, short-term disability, and long-term disability, subject to applicable waiting periods.\nPaid time off (PTO) or Paid Sick Leave (PSL)\nWHERE will you be working?\n4208 Six Forks Rd #1700 | Raleigh, NC 27609\nDue to the nature of the role, this is not a remote or work from home position. #LI-Onsite\nHOW do we build a world class organization one brick at a time?\nWe 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.\nAre you the next brick?\nTo get it done the CAPTRUST Way, an individual should exhibit the following characteristics:\nAbility to build successful, collaborative, and trusting relationships\nInstinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information\nA 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\nInherent desire to give back to our communities and enrich the lives of those around us\nAn other-centered mindset\nIntegrity through maintaining objectivity\nEEO/Diversity Statement:\nAt CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.\nIt is our intent to maintain a work environment that is free of harassment, discrimination, or retaliation because of sex (including pregnancy, childbirth, or other related medical conditions), gender, race (including hair texture or hairstyles associated with race), religion, color, national origin, ancestry, physical or mental disability, genetic information, age, sexual orientation, gender identity, gender expression, protected veteran status, uniformed service, or any other status protected by federal, state, or local laws.#mid-senior\nThis position will remain open until filled.","description_format":"text","description_chars":6974,"description_truncated":false,"requirements":{"experience_years_min":5,"management_years_min":null,"team_size_min":null,"manages_managers":false,"education":{"level":"bachelor","optional":false},"security_clearance":false,"languages":[]},"benefits":["Life insurance"],"hiring_locations":[],"hiring_excludes":[],"relocation_offered":false,"industries":["Wealth Management & Financial 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