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.
