Licensing & Registration Compliance Lead (Senior)
NewEdge Capital Group LLC
NewEdge Capital Group is seeking a Licensing & Registration Manager to oversee the firm-wide licensing and registration lifecycle for RRs, IARs, and dual registrants across FINRA, the SEC, and state jurisdictions. You will manage Form U4/U5/BR filings, Form ADV amendments, and ongoing regulatory reporting with independence during peak periods. The role requires exceptional attention to detail, supervisory experience, and familiarity with FINRA rules, Advisers Act requirements, and insurance #J-18808-Ljbffr NewEdge Capital Group LLC
Vacancy posted 2 days ago
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