Senior Compliance Manager - NC Licensed

Job Summary

To oversee the firm's Broker-Dealer and Registered Investment Adviser complaint management programs, the remote Senior Compliance Manager - NC Licensed will manage complex investigations, regulatory compliance, and licensing processes while driving enhancements to the complaint management program.

Key responsibilities

• Lead and enhance the Complaint Management Program across Broker-Dealer, RIA, and Insurance businesses
• Oversee investigations into registered representatives' conduct and manage regulatory inquiries and reporting
• Ensure accurate and timely execution of Licensing & Registration processes in compliance with regulatory requirements

Required qualifications

• Bachelor's Degree with 8 years of relevant experience or High School Diploma/GED with 12 years of relevant experience
• 7+ years of broker-dealer and/or RIA compliance experience
• Strong experience in complaints, investigations, and regulatory reporting
• Deep knowledge of FINRA rules, including Rule 4530 and complaint classification standards
• FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire)