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 has a mix of compliance professionals, financial advisors, investment professionals, customer service managers and associates, operations specialists, sales, and marketing personnel, working together to help create the best possible experience for our clients. Our Leadership Team is dedicated to employee growth both professionally and personally, and to making every CIA experience memorable.??
Compliance Assistant We are looking for an ethical, detail-oriented Compliance Assistant to join our growing team in Atlanta. Reporting to the Compliance Manager, the Compliance Assistant will assist with the daily operations of the compliance team including the testing and maintenance of the company's compliance program.
This role is essential in ensuring CIA adheres to regulatory requirements and internal policies. The Compliance Assistant is unapologetic in their commitment to upholding compliance standards but is respected among the Firm as a positive resource that supports Team Members in their daily interactions with Clients.
This position is based in our Atlanta, GA office 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: Assist in the development, implementation, and monitoring of compliance policies and procedures Conduct regular compliance reviews and audits to ensure adherence to SEC regulations and firm policies Maintain compliance-related documentation and records Prepare compliance-related training materials to support our Team Members' development Produce and submit compliance deliverables to the Compliance Manager and other stakeholders Skills & Qualifications: Bachelor's degree?from an accredited university Previous experience in compliance within the investment advisory industry a plus Proficient in MS Excel, Word, Outlook, and PowerPoint and can produce high quality presentations, correspondences, electronic communications, reports, and spreadsheets Attentive to detail while maintaining a big picture perspective Handles confidential and highly sensitive information with ultimate discretion Self-starter with the ability to execute tasks 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 Capital Investment Advisors would like to thank all applicants, however, only those who qualify for an interview will be contacted. Capital Investment Advisors is committed to a policy of equal employment opportunity and will not discriminate against any applicant or employee based on race, color, religion, national origin, sex, age, disability, veteran or military status, genetic information, or any other legally-recognized protected basis under federal, state, or local law.