Compliance Manager

Compliance Manager job at Capital Investment Advisors, reporting to the Compliance Director and partnering with the Chief Compliance Officer, requiring a strong working knowledge of the Investment Advisers Act of 1940 and SEC regulations.

Requirements

• 5-8+ years of experience in an SEC-registered RIA (or FINRA) compliance role
• Direct SEC exam experience preferred
• Bachelor's degree from an accredited university
• IACCP designation a plus
• Excellent written and verbal communication skills
• Attentive to detail while maintaining a big picture perspective
• Handles confidential and highly sensitive information with ultimate discretion
• Demonstrated ability to exercise independent regulatory judgment in a fast-paced, growth-oriented environment
• Self-starter with the ability to execute tasks and complete projects and audit work with little oversight
• Excellent ability to manage competing priorities
• Thinks strategically to make informed decisions with the firm's best interest in mind
• Committed to a culture of compliance
• Exhibits the Capital Investment Advisors' five Core Values in everything they do

Benefits

• 401k Matching
• Retirement Plan
• Generous Paid Time Off