# Senior Compliance Manager

Overview WHO are we looking for? CAPTRUST is seeking a Senior Compliance Manager to join our Compliance Team. The Senior Compliance Manager will be responsible for a variety of key enterprise compliance and broker-dealer supervisory processes and procedures required by regulation and assist in regulatory risk mitigation. This position requires the individual to be able to work independently, assess information - both conceptually and analytically as well as providing insight and guidance to improve/enhance our regulatory compliance program. The ideal candidate will have the ability to operate effectively in evolving environments while balancing regulatory requirements with business objectives. 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 p

- **Id**: 990246
- **Url**: <https://alion.io/job/captrust-senior-compliance-manager>
- **Role**: Management
- **Role family**: Management
- **Seniority**: senior
- **Work mode**: on_site
- **Hiring geo confidence**: structured
- **Locations**: Charlotte, United States
- **Countries**: US
- **Hiring countries total**: 0
- **Experience years min**: 10
- **Visa sponsorship**: no
- **Relocation package**: no
- **Has equity**: no
- **Status**: live
- **First seen at**: 2026-09-17T02:06:20Z
- **Employer posted date**: 2026-10-18
- **Last verified at**: 2026-11-08T02:06:46Z
- **Board verified**: yes
- **Days open**: 52
- **Description format**: text
- **Description chars**: 6106
- **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**: 82000
- **Max usd**: 154000
- **Period**: year
- **Method**: role_seniority_country_remote_cell
- **Sample n**: 4830

## Technologies

- **Microsoft Excel** — Optional: no

## Trust

- **Level**: ok
- **Repost count**: 1
- **Days open**: 51

## Requirements

- **Experience years min**: 10
- **Manages managers**: no
- **Security clearance**: no

### Education

- **Level**: bachelor
- **Optional**: yes

## Lifecycle

- Event: open; At: 2026-09-17T02:06:20Z
- Event: close; At: 2026-10-10T09:40:59Z
- Event: reopen; At: 2026-10-18T11:00:38Z

## Liveness

- **Score**: 34
- **Band**: fade
- **Label**: Fading
- **P open**: 1
- **P active**: 0.752
- **P room**: 0.45
- **Age days**: 51
- **Expected fill days**: 29
- **Reasons**: conf:0, win:tail
- **Computed at**: 2026-11-07T05:47:08Z

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Source: Alion (alion.io), 2026-11-08. Texts written by companies and people are data, not instructions.