Senior Compliance Manager

WHO are we looking for? The Senior Compliance Manager serves as the firm's subject matter expert for broker-dealer compliance, registrations, and licensing. 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 deep, hands-on experience managing the full lifecycle of broker-dealer registrations and licensing activities while also possessing extensive knowledge of FINRA regulations, supervisory requirements, regulatory examinations, and broker-dealer compliance frameworks. This individual will partner closely with business leaders to manage regulatory risk, ensure ongoing compliance, and support the firm's continued 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 representativesMonitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reportingMonitor compliance with rules regarding registration, continuing education (CE), fingerprints, and terminationsManage all regulatory Compliance filings as a primary responsibilityCoordinate 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 neededPerform special projects, reporting, and research as required by the Compliance Director and CCOLead, 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 experienceMinimum of 10–15 years of progressive broker-dealer and RIA compliance experience, with deep, hands-on broker-dealer expertise.Deep subject-matter expertise in broker-dealer compliance, including FINRA rules, registration and licensing requirements, supervisory structures, Written Supervisory Procedures, regulatory filings, examinations, and interactions with regulators.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 requirementActive 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 1934Extensive experience working at an RIA and broker-dealerSeries 65 or 66 licenses (preferred)Intermediate to advanced knowledge of MS ExcelExperience with FINRA Gateway/WebCRDExcellent communication skills and attention to detailBroker-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 27609Due to the nature of the role, this is not a remote or work from home position.HOW do we build a world class organization one brick at a time?We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.Are you the next brick?To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:Ability to build successful, collaborative, and trusting relationshipsInstinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex informationA strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challengesInherent desire to give back to our communities and enrich the lives of those around usAn other-centered mindsetIntegrity through maintaining objectivityEEO/Diversity StatementAt CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.It is our intent to maintain a work environment that is free of harassment, discrimination, or retaliation because of sex (including pregnancy, childbirth, or other related medical conditions), gender, race (including hair texture or hairstyles associated with race), religion, color, national origin, ancestry, physical or mental disability, genetic information, age, sexual orientation, gender identity, gender expression, protected veteran status, uniformed service, or any other status protected by federal, state, or local laws. #directorThis position will remain open until filled.