Senior Compliance Leader — FINRA/SEC Licensing
CapTrust Advisors, LLC
CapTrust Advisors, LLC in Raleigh, NC is seeking a Senior Compliance Manager to lead broker-dealer registrations and licensing compliance. Responsibilities include overseeing FINRA and state registrations, managing compliance filings, and leading a team of compliance professionals. The ideal candidate has 10-15 years of experience in compliance, knowledge of SEC regulations, and holds relevant FINRA licenses. This position offers competitive benefits including health coverage and a company discretionary bonus. #J-18808-Ljbffr CapTrust Advisors, LLC
Vacancy posted 3 days ago
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