About The Role

WHO are we looking for? We are looking for a Senior Compliance Managerwho will be responsible for leading the broker-dealer registrations and licensing compliance program for the firm. This role includes managing adherence to SEC, FINRA, and state insurance/securities licensing requirements. The ideal candidate manages the full lifecycle of registered representative and investment adviser representative registrations, U4/U5 filings, and insurance licensing/renewals, and works directly with regulatory bodies on regulatory exams and inquiries. This position requires the individual to be able to work independently and collaboratively, assess information both...

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