Manager, Regulatory Program Management

About the role

The Regulatory Program Management job ensures the reliability and effectiveness of controls and processes across the company. As a recognized master in regulatory requirements, this role ensures adherence to regulatory standards and proper oversight of broker‑dealer activities. It establishes operating routines and procedures that enable sound supervisory practices and works extensively across Distribution, HR, and technology supporting the execution of Advisor Compensation and Scorecards, including program design, execution and controls.

Responsibilities

• Creates and maintains processes that ensure adherence to regulatory requirements.
• Designs the evaluation and testing of regulatory processes and controls.
• Presents reports of Compliance findings and applicable recommendations to management.
• Leads cross‑functional implementation of broker dealer programs including analysis of regulatory risks in operational areas.
• Evaluates reporting policies and procedures currently in place within the organization to identify gaps and weaknesses.
• Communicates new or revised policies, procedures, processes and related documents to appropriate team members and/or business units.

Requirements

Education: University degree preferred.

Experience: 5+ years required; 7+ years preferred.

FINRA Registrations: Series 7 and Series 24 (to be obtained within 120 days).

Physical Requirements: Sedentary work.

Career Level: 9IC.

Qualifications

Ideal candidates possess strong product knowledge, technical skills, and thrive in a collaborative, fast‑paced environment.

Skills

• Business Acumen
• Business Process Improvement
• Business Process Understanding
• Communication
• Compliance
• Continuous Improvement Mindset
• Detail‑Oriented
• General Risk Management
• Influence
• Relationship Management