North Carolina Licensed Compliance Manager

Job Summary

A company is looking for a Manager Compliance I - Licensing & Registration (Dual Registrant) (Remote).

Key Responsibilities

• Manage and oversee registration and licensing for associated persons and the firm's broker-dealer and RIA entities
• Prepare, file, and maintain necessary regulatory forms and ensure compliance with relevant regulations
• Serve as the point of contact for licensing-related audits and provide training on registration requirements

Required Qualifications

• Bachelor's Degree and 6 years of relevant experience, or High School Diploma/GED and 10 years of relevant experience
• Extensive compliance experience in dual registrant or broker-dealer and RIA environments
• Strong knowledge of FINRA, SEC, and state licensing and registration rules
• Proficiency with regulatory filings such as Form BD, Form ADV, and Form U4/U5
• Experience with CRD/IARD and FINRA Gateway systems