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 client’s individual circumstances and objectives.
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.
Senior Compliance Associate
We are looking for an ethical, team-oriented Senior Compliance Associate 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 firm’s compliance program while serving as a trusted compliance resource across the organization.
The ideal candidate possesses 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 Associate demonstrates an unwavering commitment to maintaining 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.
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.
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
Coordinate and support the Asset Management Oversight Committee (AMOC) and Advisor Scorecard programs, as well as other audit work and internal compliance reviews
Support DOL PTE 2020-02 rollover documentation and retrospective review
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
Assist with 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