Senior Compliance Manager

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 accuracy and timeliness of all regulatory reporting
• Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and terminations
• Manage all regulatory Compliance filings as a primary responsibility
• Coordinate with Compliance Directors and CCO to maintain the governance framework for broker-dealer and registration activities, including maintaining and updating Written Supervisory Procedures (WSPs)
• Support the broker-dealer and registered investment advisor office inspection programs as needed
• Perform special projects, reporting, and research as required by the Compliance Director and CCO
• Lead, develop, and manage compliance professionals on the team. Prior people leader/team management experience required

Minimum Qualifications:

• Bachelor's degree or equivalent years of relevant work experience
• 10-15+ years of progressive compliance experience within a FINRA-regulated broker-dealer environment.
• Significant experience managing broker-dealer regulatory compliance programs, examinations, supervisory controls, and licensing functions.
• Demonstrated success interacting directly with FINRA regulators and leading regulatory exam responses.
• Working knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's requirement
• Active FINRA Series 7 and Series 24 licenses.

Desired Qualifications/Skills:

• Demonstrable working knowledge of industry regulations: FINRA rules, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934
• Extensive experience working at an RIA and broker-dealer
• Series 65 or 66 licenses (preferred)
• Intermediate to advanced knowledge of MS Excel
• Experience with FINRA Gateway/WebCRD
• Excellent communication skills and attention to detail
• Broker-dealer compliance leadership experience.
• Experience supporting FINRA member firms.
• Experience managing regulatory examinations and remediation activities.
• Experience developing supervisory programs and compliance testing frameworks.
• Experience within a dual-registered RIA/Broker-Dealer environment.

WHAT can you expect from your career at CAPTRUST?

Our colleagues, like our clients, tend to stay with CAPTRUST for years. There’s a reason for it; it’s a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.

Our Employee Benefits Package shows how much we value our team. Some benefits include:

• Company discretionary bonus.
• Health, dental, and vision coverage, employer 401(k) plan and company match, health savings accounts, flexible spending accounts, and voluntary supplemental plans subject to plan terms.
• Company-paid benefits such as life insurance, short-term disability, and long-term disability, subject to applicable waiting periods.
• Paid time off (PTO) or Paid Sick Leave (PSL)

WHERE will you be working?

4208 Six Forks Rd #1700 | Raleigh, NC 27609

Due to the nature of the role, this is not a remote or work from home position.