Senior Compliance Manager
Virtual Vocations Inc
To oversee the firm's Broker-Dealer and Registered Investment Adviser complaint management programs, the remote Senior Compliance Manager - NC Licensed will manage complex investigations, regulatory compliance, and licensing processes while driving enhancements to the complaint management program. Key responsibilities Lead and enhance the Complaint Management Program across Broker-Dealer, RIA, and Insurance businesses Oversee investigations into registered representatives' conduct and manage regulatory inquiries and reporting Ensure accurate and timely execution of Licensing & Registration processes in compliance with regulatory requirements Required qualifications Bachelor's Degree with 8 years of relevant experience or High School Diploma/GED with 12 years of relevant 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 and complaint classification standards FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire)
Vacancy posted 1 day ago
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