Senior Compliance Associate

Core Responsibilities

• Own and manage Advertising & Marketing review responsibilities within the compliance program, strong experience with and understanding of the SEC’s Marketing Rule is preferred
• Lead third-party manager and alternative investment oversight
• Provide compliance and regulatory guidance for new business initiatives, technology platforms, marketing strategies, and expansion efforts
• Provide compliance support and regulatory input for technology platforms, marketing strategies, and other business initiatives and expansion efforts
• Cook up and support the Asset Management Oversight Committee (AMOC) and Advisor Scorecard programs, as well as other audit work and internal compliance reviews
• Contribute to Rule 206(4)-7 annual review and required regulatory filings
• Support SEC examinations, including gathering documentation and drafting responses
• Enhance compliance workflows and strengthen documentation standards
• Aid in onboarding and development of newer team members

Skills & Qualifications

• 5+ years of experience in an SEC-registered investment adviser or broker-dealer compliance role
• Direct SEC exam experience preferred
• Strong knowledge of the Advisers Act, Form ADV, Marketing Rule, Code of Ethics, portfolio management oversight, and fiduciary obligations; SEC marketing review experience preferred
• Bachelor’s degree from an accredited university
• IACCP® designation a plus
• Systems-oriented mindset with experience improving workflows
• Excellent written and verbal communication skills
• Strong attention to detail while maintaining a big picture perspective
• Discretely handles confidential and highly sensitive information
• Possesses a demonstrated ability to exercise independent regulatory judgment in a fast-paced, growth-oriented environment
• Self-starter with the ability to successfully execute tasks, independently complete projects and effectively conduct audit work with minimal oversight
• Excellent ability to manage competing priorities
• Exercises sound judgment and considers the firm’s best interest when making decisions and carrying out responsibilities
• Committed to a culture of compliance
• Exhibits the Capital Investment Advisors’ five Core Values in everything they do