At Capital Investment Advisors (CIA), we strive to help clients reach their goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm headquartered in Atlanta with offices throughout the U.S. Our advisors in Georgia, Florida, Colorado, Texas, and Arizona provide clients with a full range of financial advice. Since 1996, CIA has been providing financial strategy and management tailored to the clientโs individual circumstances andย objectives.โฏโฏย
Our tight-knit team brings together compliance professionals, financial advisors, investment associates, client service managers and associates, operations specialists, business development professionals, and marketing team members, all working collaboratively to help deliver an exceptional client experience. Our Leadership Team is dedicated to fostering employee growth both professionally and personally, and to making every CIA experience meaningful and memorable.โฏโฏย
Senior Compliance Associateย
We are looking for an ethical, team-orientedย Seniorย Compliance Associateย to strengthen and elevate our compliance infrastructure. Reporting to the Compliance Director and partnering closely with members of the Compliance Team, this role will support and help administer key areas of the firmโs compliance program while serving as a trusted compliance resource across the organization.ย
The ideal candidateย possessesย a strong working knowledge of the Investment Advisers Act of 1940, including the regulatory requirements applicable to SEC registered investment advisers and other relevant regulations, and is comfortable providing compliance guidance and escalating concerns when necessary. The Senior Compliance Associateย demonstratesย an unwavering commitment toย maintainingย and enhancing compliance standards, while also being respected by team members as a positive and approachable resource who supports them in their daily interactions with clients.ย ย
This position is based in our Atlanta, GA office (Sandy Springs) and will require occasional travel to other office locations. This position is eligible for a hybrid work schedule after completion of a successful introductory period.โฏย
Core Responsibilities:โฏย
- Own and manage Advertising & Marketing review responsibilities within the compliance program, strong experience with and understanding of the SECโs Marketing Rule is preferredย
- Lead third-party manager and alternative investment oversightย
- Provide compliance and regulatory guidance for new business initiatives, technology platforms, marketing strategies, and expansion effortsย
- Provide compliance support and regulatory input for technology platforms, marketing strategies, and other business initiatives and expansion effortsย
- Coordinate and support the Asset Management Oversight Committee (AMOC) and Advisor Scorecard programs, as well as other audit work and internal compliance reviewsย
- Support DOL PTE 2020-02 rollover documentation and retrospective reviewย
- Contribute to Rule 206(4)-7 annual review andย requiredย regulatory filingsย
- Support SEC examinations, including gathering documentation and drafting responsesย
- Enhance compliance workflows and strengthen documentation standardsย
- Assistย with onboarding and development of newer team membersย
Skills & Qualifications:โฏย
- 5+ years of experience in an SEC-registered investment adviser or broker-dealer compliance roleย
- Direct SEC exam experience preferredย
- Strong knowledge of the Advisers Act, Form ADV, Marketing Rule, Code of Ethics, portfolio management oversight, and fiduciary obligations; SEC marketing review experience preferredย ย
- Bachelorโs degreeโฏfrom an accredited universityย
- IACCPยฎ designation a plusย
- Systems-oriented mindset with experience improving workflowsย ย
- Excellent written and verbal communication skillsย ย
- Strong attention to detail whileย maintainingย a big picture perspectiveย
- Discretely handles confidential andย highly sensitiveย informationย ย
- Possesses a demonstrated ability to exercise independent regulatory judgment in a fast-paced, growth-oriented environmentย
- Self-starter with the ability to successfully execute tasks, independently complete projects and effectively conduct audit work with minimal oversightโฏย
- Excellent ability to manage competing prioritiesโฏโฏย
- Exercises sound judgment andย considersย the firmโs best interest when making decisions and carrying out responsibilitiesย
- Committed to a culture of complianceโฏย
- Exhibits the Capital Investment Advisorsโ five Core Values in everything they doโฏย
Powered by JazzHR
38Z7DhBEC5