FINRA Licensed Lending Manager

Job Summary

A company is looking for a Broker Dealer and Investment Advisor Lending Manager.

Key Responsibilities

• Design and enhance advisor lending programs, including governance and compliance frameworks
• Monitor regulatory changes and ensure compliance with lending-related rules and regulations
• Provide executive-level reporting and insights to support strategic decision-making

Required Qualifications

• Bachelor's degree in Finance, Business, Accounting, or related field
• 8+ years of experience in broker-dealer finance, operations, risk, compliance, or advisor lending
• Strong knowledge of FINRA rules and regulatory frameworks
• FINRA Series 7, and 24 or 27 required or to be obtained within 90 days of hire/transfer
• Ability to operate effectively in a regulated environment