North Carolina Licensed Compliance Manager

Job Summary

A company is looking for a Manager Compliance II - Investor & RIA Services (Remote).

Key Responsibilities

• Administer and maintain the compliance policy and procedure framework, ensuring alignment with regulatory requirements
• Oversee the review of broker-dealer and RIA communications for compliance with regulations and firm standards
• Design and implement the firm's Compliance Training Program, addressing regulatory changes and emerging risks

Required Qualifications

• Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, or related fields, or High School Diploma/GED with 12 years of experience
• JD or MBA preferred
• 5+ years of experience in broker-dealer and/or RIA compliance with supervisory exposure
• FINRA Series 7, 24, and 63/65 or 66 licenses required (or to be obtained shortly after hire)
• Strong knowledge of FINRA rules, SEC regulations, and the Investment Advisers Act of 1940