Hiring: Senior Compliance Analyst Company: CAPTRUST Location: Raleigh, NC Job Posted Time: 2026-09-17 12:46:48 Employment Type: Remote Target Skills & Keywords : Microsoft Excel, Microsoft Office, Microsoft PowerPoint, Portfolio Management, Series 7 About the job Experience: •5-10 years of experience working at an investment advisory/broker-dealer firm •10 years of experience working at an investment advisory/broker-dealer firm Required Skills: •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 registered representatives. •Monitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reporting. •Review marketing and advertising materials, including social media and Requests for Proposal (RFPs), to confirm adherence to regulations and company policies. •Partner cross-functionally with and provide guidance to marketing professionals, business lines, and others in the Firm regarding compliance policies and procedures. •Actively facilitate and support broker-dealer and registered investment advisor office inspection programs as needed. •Support financial crimes and fraud investigations. •Quickly become proficient in the Firm’s compliance systems. •Analyze business processes, transactions, and other data to identify potential compliance risks and develop testing and action plans. Qualifications: •Bachelor’s degree •Solid functional working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s regulatory requirements •Highest standard of personal and professional ethics and integrity •Strong written and oral communication skills, attention to detail, ability to analyze information, multi-task, manage competing priorities and stay organized •Strong interpersonal skills, professionalism, ability to maintain confidentiality •Demonstrated capacity to work both independently and in a team environment; proactive, with the ability to independently carry out projects to their completion •Proficiency in MS Office & Microsoft 365 (Word, Excel, PowerPoint, Outlook, SharePoint, Teams) •Solid functional working knowledge of an investment advisory firm’s regulatory requirements •Solid functional working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 •Exposure to one or more Investment Adviser portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River) a plus Compensation: •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!