Role Summary

The Sr Manager is responsible for driving regulatory change initiatives across business units, ensuring registration processes and requirements remain aligned with evolving legal and regulatory standards, as well as firm priorities and strategic objectives. In addition, the role manages vendor relationships and technology initiatives for registration systems and serves as a key point of contact for ensuring operational effectiveness and compliance support. This role leads and oversees the full lifecycle of associate and entity registrations, including initial registration, ongoing maintenance requirements such as continuing education and disclosure obligations, and termination of registrations.

The position requires a strong leader who can effectively partner with business unit leaders and compliance stakeholders to interpret, communicate, and implement registration requirements. Acting as a trusted advisor, the Sr Manager applies extensive compliance and risk expertise to consult on complex issues, assess the impact of new laws and regulations, and collaborate with management to develop policies, practices, and controls that uphold firm compliance standards. This role also leads disciplinary and cross-functional programs involving notable risk, using sophisticated analytical thinking to identify innovative and practical solutions.

In addition to subject matter leadership, this role provides direct management, guidance, and professional development to team members and direct reports, setting standards for quality and performance across the function. The Sr Manager works with a high degree of independence, requiring guidance only in the most complex situations, and is accountable for both individual and team deliverables. Success in this role requires deep expertise in compliance and registration disciplines, exceptional communication skills, demonstrated experience with handling multiple tasks at the same time, strong attention to detail, self-motivation, and the ability to influence management and key external stakeholders on broad-ranging initiatives.

Responsibilities

• Leads highly complex projects and serves as a subject matter expert for operational compliance issues. Provides guidance to lower-level associates working on less complex issues.
• Serves as an advisor to the business on compliance-related issues. Consults with applicable parties on new firm-wide policies, guiding them on matters related to implementation and compliance.
• Leads projects to resolve process issues and to evaluate plan documents and administrative forms for compliance issues. Collaborates with management on plan design and/or administrative enhancements to influence best practices while meeting client objectives.
• Conducts formal vendor performance reviews to help inform vendor selection process. Provides leadership with due diligence reports when new vendors are required and rationale for vendor changes. May participate in vendor selection and negotiation of contracts.
• Collaborates with technology partners to drive workflow modernization and automation initiatives while maintaining the effectiveness and efficiency of existing systems.
• Manages a team with broad, evolving responsibilities, fostering agility in response to regulatory changes and promoting proactive execution across multiple areas.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience and 8+ years of total relevant work experience
• Series 7 and Series 24 required

Preferred:

• Strong understanding of FINRA, MSRB, and SEC rules
• Familiarity with FINRA CRD system
• Experience in compliance, registration, licensing, or regulatory operations within the financial services industry
• Strong leadership ability to effect organizational change and manage evolving priorities
• Excellent written and oral communication skills with exceptional attention to detail and ability to communicate professionally to leadership and Human Resources
• Ability to manage multiple initiatives, differing deadlines, and various responsibilities in a fast-paced regulatory environment while sustaining the highest level of organization
• Highest level of integrity and discretion
• Demonstrated ability to interpret and apply regulatory rules with precision
• Advanced proficiency in Excel and Word
• Risk identification and mitigation

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

Base Salary Ranges

Please review the job posting for the location of this specific opportunity.

$110,000.00 - $188,000.00 for the location of: Maryland, Colorado, Washington and remote workers
$121,000.00 - $207,000.00 for the location of: Washington, D.C.
$138,000.00 - $236,000.00 for the location of: New York, California

Placement within the range provided above is based on the individual's relevant experience and skills for the role. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.

Benefits

We value your goals and needs, at work and in life. As an associate, you'll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.

Featured employee benefits to enrich your life:

• Competitive compensation

• Annual bonus eligibility

• A generous retirement plan

• Hybrid work schedule

• Health and wellness benefits, including online therapy

• Paid time off for vacation, illness, medical appointments, and volunteering days

• Family care resources, including fertility and adoption benefits

Learn more about our benefits.