layiq
/la·yiq/adjective
worthy; deserving; fitting; suitable.
A role, opportunity, or path that merits attention, time, and pursuit.
Loading LAYIQ…
Job opportunity
Senior Compliance Analyst
CAPTRUST
Raleigh, North Carolina
Source: CAPTRUST careers · View original posting
Employer job description
From CAPTRUST's posting. “We” and “our” refer to the employer.
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.