CAPTRUST

WHO are we looking for? The Senior Compliance Manager serves as a subject matter expert for broker-dealer compliance and regulatory oversight. This role is responsible for leading and enhancing the firm's broker-dealer compliance program, including FINRA regulatory compliance, examinations, supervisory controls, registrations and licensing, WSP governance, and regulatory reporting. The ideal candidate will bring extensive experience operating within a complex broker-dealer environment and partnering with business leaders to manage regulatory risk and support firm growth. Responsibilities: Oversee and execute all FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; manage the licensing onboarding and offboarding process for employees and registered representatives Monitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring...