Atlanta, Georgia, United States · Hybrid
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 Atlant…
Skills: SEC Compliance, Investment Advisers Act of 1940, Marketing Rule, Regulatory Guidance, Audit Work
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The role involves managing advertising and marketing reviews, overseeing third-party managers, and providing regulatory guidance for new business initiatives. Additionally, the associate supports SEC examinations, annual Rule 206(4)-7 reviews, and the Asset Management Oversight Committee.
Candidates need 5+ years of experience in an SEC-registered investment adviser or broker-dealer compliance role and a bachelor's degree. Strong knowledge of the Advisers Act, Form ADV, and the SEC Marketing Rule is required.
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.
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:
Skills & Qualifications:
Helping Families Find Happiness in Retirement | Retirement Planning | Income-Oriented Investment Portfolios
At Capital Investment Advisors (CIA), we strive to help clients reach their financial and retirement goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm with offices throughout the United States that provide our clients with a full range of financial advice centered on portfolio management. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives. Our firm's mission is to help families find happiness in retirement; this includes the clients we serve, the professionals we partner with, and the employees who come into CIA every day to fulfill this mission. BEWARE OF SCAMS. You will never be contacted by any of our members through social media, such as Facebook, WhatsApp, Instagram, etc., for free tutoring or academic advising regarding investment strategies. Please ensure you are communicating with us through official channels. If you would like to work with us, please contact us through this link https://www.yourwealth.com/contact/schedule-appointment/. Emails that our advisors use come from the email domain yourwealth.com. Review our social media rules of engagement at: https://www.yourwealth.com/social-media-rules-of-engagement/
Offices: 10 Glenlake Pkwy, North Tower, Suite 1000, Atlanta, Georgia 30328, US · 2502 N Rocky Point Dr, Suite 675, Tampa, Florida 33607, US · 116 Inverness Drive East, Suite 204, Englewood, CO 80112, US · 2415 E Camelback Rd, Suite 700, Phoenix, Arizona 85016, US
Helping Families Find Happiness in Retirement | Retirement Planning | Income-Oriented Investment Portfolios
At Capital Investment Advisors (CIA), we strive to help clients reach their financial and retirement goals by focusing on our specialty: Income Investing. We are a fee-only financial advisory and portfolio management firm with offices throughout the United States that provide our clients with a full range of financial advice centered on portfolio management. Since 1996, CIA has been providing financial strategy and management tailored to the client’s individual circumstances and objectives. Our firm's mission is to help families find happiness in retirement; this includes the clients we serve, the professionals we partner with, and the employees who come into CIA every day to fulfill this mission. BEWARE OF SCAMS. You will never be contacted by any of our members through social media, such as Facebook, WhatsApp, Instagram, etc., for free tutoring or academic advising regarding investment strategies. Please ensure you are communicating with us through official channels. If you would like to work with us, please contact us through this link https://www.yourwealth.com/contact/schedule-appointment/. Emails that our advisors use come from the email domain yourwealth.com. Review our social media rules of engagement at: https://www.yourwealth.com/social-media-rules-of-engagement/
Offices: 10 Glenlake Pkwy, North Tower, Suite 1000, Atlanta, Georgia 30328, US · 2502 N Rocky Point Dr, Suite 675, Tampa, Florida 33607, US · 116 Inverness Drive East, Suite 204, Englewood, CO 80112, US · 2415 E Camelback Rd, Suite 700, Phoenix, Arizona 85016, US
