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Chief Compliance Officer

Raleigh, NC
  • Posted: over a month ago
  • Full-Time
Job Description

WHO are we looking for?

CAPTRUST is seeking a Chief Compliance Officer who will have ultimate responsibility for all regulatory compliance matters for our firm. The Chief Compliance Officer will lead the compliance department and reports to the General Counsel. The candidate will be expected to provide end-to-end compliance oversight of the compliance program, and in doing so will partner with the firm’s senior executives to ensure the firm’s compliance program remains robust and functional. The applicant should also be a self-starter who is capable of balancing risk, speed and accuracy to address complex problems, as well as work closely with all teams throughout the firm. Strong communication skills, both verbal and written, are essential given the breadth of the business and the complexity of the role.

Founded in 1997, CAPTRUST is an independent registered investment advisor. The firm provides investment management, financial planning, estate planning, and tax advisory and compliance for individuals and families. For retirement plan sponsors, endowments, foundations, and religious entities, CAPTRUST offers investment advisory services, fiduciary support, plan design, provider analysis/fee benchmarking, and employee advice programs. With more than 1,100 employees across over 60 locations nationwide, CAPTRUST oversees more than $85 billion in assets under management and more than $660 billion in assets under advisement (as of December 31, 2021).

Job Responsibilities:

  • Oversee and implement all aspects of regulatory compliance program for CAPTRUST across the institutional, wealth, and foundation and endowment offerings, and for all CAPTRUST affiliated entities, including the registered investment adviser, broker-dealer, and related subsidiaries
  • Lead the internal compliance team and oversee outside service providers
  • Lead and manage regulatory examinations
  • Contribute to the firm’s enterprise risk management efforts
  • Provide strategic leadership to the firm, including guidance on evolving best practices while remaining apprised of regulatory developments and adjust compliance policies and practices accordingly
  • Coordinate with other senior leaders of the firm on relevant matters such as cyber security, enterprise risk, advice to institutional, wealth, and foundation/endowment advisory broker-dealer services.
  • Consider and address related ancillary services such as actuarial, tax, participant education, multi-family office services, and private investment funds, and related regulatory impacts

Minimum Qualifications:

  • Bachelor’s degree
  • Prior experience as a Chief Compliance Officer or senior compliance role with significant responsibility for a complex investment advisor
  • Strong written and verbal communication skills
  • Strong organizational skills including adapting priorities and meeting deadlines
  • 15+ years’ experience in compliance and/or legal regulatory for financial services

Desired Qualifications/Skills:

  • Master’s degree, Juris Doctorate, and/or advanced compliance professional designations
  • Experience in compliance for broker-dealers, private investment funds, multi-family offices
  • FINRA Series 24 or 53

WHAT can you expect from your career at CAPTRUST?

Our colleagues, like our clients, tend to stay with CAPTRUST for years. There’s a reason for it; it’s a great place to work and grow. We all work together, each of us motivating those around us with our commitment to high standards.

Our Employee Benefits Package shows how much we value our team. Some benefits include:

  • Employee ownership opportunities
  • Brick Bonus success sharing program
  • Comprehensive health coverage + Virgin Pulse wellness platform
  • 401(k) program with a 5% employer match + financial planning for colleagues

WHERE will you be working?

4208 Six Forks Road, Suite 1700 | Raleigh, NC 27609

HOW do we build a world class organization one brick at a time?

We make it a priority to hire those who have a commitment to service, a real interest in other people, and a burning need to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and the depth of our bench. If you are ready to make your mark, we want to talk to you.

Are you the next brick?

To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:

  • Ability to build successful, collaborative, and trusting relationships
  • Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
  • A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
  • Inherent desire to give back to our communities and enrich the lives of those around us
  • An other-centered mindset
  • Integrity through maintaining objectivity

EEO/Diversity Statement:

At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.

CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination.



Raleigh, NC
27609 USA



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