Job Description:
Capital Wealth Planning is a third-party asset manager who offers its investment strategies to other firms in a sub-advisory capacity. We are seeking an Assistant Director of Compliance & Investment Operations, to support and enhance core business functions across Operations, Compliance, Marketing, Reporting, and Analytics functions. This versatile role offers high visibility, cross-functional collaboration, and the opportunity to shape firm-wide decision-making through data-driven insights and regulatory expertise.
Key Responsibilities:
· Understand details of the firm’s investment strategies.
- Contribute to weekly and quarterly market and strategy commentaries.
· Review/update the firm’s marketing materials.
· Research/analyze to provide data for new marketing initiative and materials.
- Calculate and maintain performance composites in line with the Global Investment Performance Standards for all of the firm’s investment strategies.
- Complete quarterly and annual due diligence questionnaires on the firm and its investment strategies.
- Put together RFP packets for potential clients.
- Track internal company analytics.
- Ensure ongoing compliance with the Investment Company Act of 1940, SEC rules, and other applicable federal securities laws.
- Conduct compliance monitoring, testing, and reporting.
- Assist with regulatory reporting and regulatory filings.
- Ensure firm’s data is accurately reported to various third-party databases.
· Maintain documentation according to the firm’s policies and procedures.
- Collaborate and strategize with leadership to implement and produce effective internal and external partnerships.
- Champion best practices across all departments.
- Perform other duties as assigned or required.
Essential Business Experience and Technical Skills:
- 5-7+ of relevant compliance and operations work experience within the financial services industry. Experience with RIAs is preferred.
- Investment Adviser Certified Compliance Professional (IACCP®) designation or willingness to obtain.
- Bachelor’s degree in finance or related field required.
- Proficiency with Microsoft Excel, Word, and PowerPoint.
- Strong verbal and written communication skills.
- Ability to communicate regulatory concepts to non-compliance individuals.
- Proficiency using Orion or a similar portfolio accounting system is preferred.
- Proficiency using Redtail or a similar CRM system is preferred.
- Experience in creating and maintaining cross-functional partner relationships.
- Resourceful nature; self-motivated and self-directed in accomplishing tasks.
- Strong analytical skills and knowledge of the financial services industry - experience with SMAs and ETFs is preferred.
Salary: $80,000 - $85,000
Benefits: · We offer comprehensive health benefits, PTO, 401(k) with company matching, and more.
Schedule: M-F 8:30-5:00
Work Location: · Onsite - Naples, FL · This is NOT a remote position.