About this role
Compliance Analyst at CAPTRUST. Location: Raleigh or Charlotte. Role: Review materials, Provide guidance, Develop procedures Requirements: Bachelor’s degree; 4-7 years at an investment advisory or broker-dealer; knowledge of Investment Advisers Act of 1940 and SEC Marketing Rule; high ethics. Category: Legal and Compliance Seniority: Mid Level Tools: MS Office, Microsoft 365, SharePoint, Teams Certifications: series 7, series 24 Commitment: Full Time Workplace: Onsite Languages: English