# Senior Compliance Analyst

Overview WHO are we looking for? CAPTRUST 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. The 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. The internal title for this role is intended to be Senior Analyst | Compliance. Responsibilities Support 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 r

- **Id**: 990241
- **Url**: <https://alion.io/job/captrust-senior-compliance-analyst>
- **Role**: Legal
- **Role family**: Legal
- **Seniority**: senior
- **Work mode**: on_site
- **Hiring geo confidence**: structured
- **Locations**: Raleigh, United States
- **Countries**: US
- **Hiring countries total**: 0
- **Experience years min**: 5
- **Visa sponsorship**: no
- **Relocation package**: no
- **Has equity**: no
- **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**: yes
- **Days open**: 59
- **Description format**: text
- **Description chars**: 6974
- **Description truncated**: no
- **Benefits**: Life insurance
- **Relocation offered**: no
- **Industries**: Wealth Management & Financial Advisors

## Company

- **Id**: 708258
- **Name**: CAPTRUST
- **Domain**: captrust.com
- **Url**: <https://alion.io/company/captrust>
- **Size band**: 1001-5000
- **Is staffing agency**: no
- **Employer type**: direct
- **Is intermediary**: no
- **Ats vendor**: iCIMS

## Salary estimate

- **Min usd**: 86000
- **Max usd**: 201000
- **Period**: year
- **Method**: role_seniority_country_remote_cell
- **Sample n**: 2113

## Technologies

- **Microsoft Office** — Optional: no
- **Outlook** — Optional: no
- **SharePoint** — Optional: no

## Trust

- **Level**: ok
- **Days open**: 59

## Requirements

- **Experience years min**: 5
- **Manages managers**: no
- **Security clearance**: no

### Education

- **Level**: bachelor
- **Optional**: no

## Lifecycle

- Event: open; At: 2026-09-17T02:06:20Z

## Liveness

- **Score**: 25
- **Band**: fade
- **Label**: Fading
- **P open**: 1
- **P active**: 0.704
- **P room**: 0.35
- **Age days**: 59
- **Expected fill days**: 27
- **Reasons**: conf:2, win:tail
- **Computed at**: 2026-11-15T07:52:55Z

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Source: Alion (alion.io), 2026-11-15. Texts written by companies and people are data, not instructions.