Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)

Responsibilities

• Lead and enhance the firm’s Complaint Management Program, across BD, RIA, and Insurance businesses
• Oversee the complaint investigations, escalation, and resolution, directly handling high-risk matters
• Accurately apply FINRA problem/product codes and disclosure requirements
• Manage Rule 4530 reporting, including quarterly 4530(d) filings and event-driven reporting
• Implement improvements to increase program effectiveness, consistency, and scalability
• Lead investigations into registered representatives and associated people’s conduct, sales practice, and supervisory matters
• Partner with Legal, Human Resources, and business leadership on escalation, resolution, and disciplinary outcomes
• Support regulatory inquiries, responses, and disclosure obligations
• Oversee Licensing & Registration to ensure accurate and timely regulatory filings and registration processes are executed accurately and in accordance with applicable requirements

Qualifications

• Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience
• OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related 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, U4/U5, and complaint classification standards
• Proven leadership and ability to manage complex regulatory matters
• FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire)