Hiring: Senior Compliance Manager Company: CAPTRUST Location: Raleigh, NC Job Posted Time: 2026-09-10 13:46:48 Employment Type: Remote Target Skills & Keywords : Microsoft Excel, Regulatory Compliance, Series 24, Series 7 About the job Experience: •15 years of progressive broker-dealer and RIA compliance experience, with deep, hands-on broker-dealer expertise. Required Skills: •Oversee and execute all FINRA, state securities, and insurance registrations, including processing Uniform Forms U-4 and U-5, Form BD, Form ADV, and various state forms for firm personnel; manage the licensing onboarding and offboarding process for employees and registered representatives •Monitor WEB CRD to maintain, update, and renew firm/representative licenses, ensuring accuracy and timeliness of all regulatory reporting •Monitor compliance with rules regarding registration, continuing education (CE), fingerprints, and terminations •Manage all regulatory Compliance filings as a primary responsibility •Coordinate with Compliance Directors and CCO to maintain the governance framework for broker-dealer and registration activities, including maintaining and updating Written Supervisory Procedures (WSPs) •Actively facilitate and support broker-dealer and registered investment advisor office inspection programs as needed •Perform special projects, reporting, and research as required by the Compliance Director and CCO •Lead, develop, and manage compliance professionals on the team. Prior people leader/team management experience required Qualifications: •Bachelor's degree or equivalent years of relevant work experience •Minimum of 10–15 years of progressive broker-dealer and RIA compliance experience, with deep, hands-on broker-dealer expertise. •Deep subject-matter expertise in broker-dealer compliance, including FINRA rules, registration and licensing requirements, supervisory structures, Written Supervisory Procedures, regulatory filings, examinations, and interactions with regulators. •Demonstrated success interacting directly with FINRA regulators and leading regulatory exam responses. •Solid functional working knowledge of the U.S. Securities and Exchange Commission's Investment Advisers Act of 1940 and an investment advisory firm's requirement •Active FINRA Series 7 and Series 24 licenses. •Demonstrable working knowledge of industry regulations: FINRA rules, the Investment Advisers Act of 1940, the Securities Exchange Act of 1934 •Extensive experience working at an RIA and broker-dealer •Intermediate to advanced knowledge of MS Excel •Excellent communication skills and attention to detail Compensation: •Flexible work environment (work from home / hybrid options) Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!