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.

Capital Wealth Planning, LLC jobs

Assistant Director of Compliance & Investment Operations