Manager Compliance I - Licensing & Registration (Dual Registrant) (Remote)

This is a remote role that may be hired in several markets across the United States.

The Compliance Manager I - Licensing & Registration oversees the end-to-end registration, licensing, and onboarding processes for a dual registrant firm (Broker-Dealer and SEC-registered Investment Adviser). This role ensures that both entity and individual registrations are accurate, up-to-date, and in compliance with FINRA, SEC, and state securities regulations. The position serves as a subject matter expert for CRD/IARD processes, Form BD, Form ADV, Form U4/U5 filings, and continuing education requirements. The Senior Compliance Officer partners closely with HR, Supervision, Legal, and business leaders to ensure the timely onboarding and offboarding of registered representatives, investment adviser representatives, and principals.

• Manage and oversee registration and licensing for all associated persons and the firm's broker-dealer and RIA entities.
• Prepare, file, and maintain Form U4/U5, Form BD, Form ADV, Form BR, and related amendments in CRD/IARD.
• Coordinate with internal stakeholders to ensure accurate role coding, jurisdiction coverage, and timely updates to registrations.
• Ensure compliance with FINRA, SEC, MSRB, and state regulations for both broker-dealer and investment adviser activities.
• Monitor regulatory changes impacting licensing and registration requirements and implement necessary updates to processes.
• Serve as the point of contact for licensing-related audits, exams, and regulatory inquiries.
• Administer CRD/IARD, FINRA Gateway, Web EFT (if applicable), and state registration portals.
• Oversee annual FINRA and state registration renewals, as well as Investment Adviser renewals.
• Maintain accurate licensing records and produce periodic reports for management, including registration status, CE completion rates, and renewal progress.
• Track and manage both Regulatory Element and Firm Element CE requirements for registered personnel.
• Provide training to business units, branch managers, and compliance staff on licensing and registration requirements for dual registrants.

Collaboration and Special Projects

• Partner with HR and business leaders to streamline onboarding/offboarding for registered individuals.
• Lead licensing-related process improvement initiatives and technology enhancements.
• Provide guidance on registration requirements for new products, services, or expansion into new jurisdictions.

• Bachelor's Degree and 6 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 10 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience

Preferred Qualifications

• Extensive compliance experience with a dual registrant or in both broker-dealer and RIA environments.
• Strong working knowledge of FINRA, SEC, and state licensing and registration rules, including CRD/IARD processes.
• Proficiency with Form BD, Form ADV, Form U4/U5, and Form BR filings.
• Experience with FINRA Gateway, CRD/IARD, and Web EFT.
• Exceptional attention to detail and organizational skills.
• Excellent written and verbal communication skills; ability to convey regulatory concepts clearly to business partners.
• Ability to manage multiple priorities in a fast-paced environment

Preferred Certifications

• FINRA Series 7, 24, 63, or other relevant licenses.

This job posting is expected to remain active for 5 days from the initial posting date listed above. If it is necessary to extend this deadline, the posting will remain active as appropriate. Job postings may come down early due to business need or a high volume of applicants.

The base pay for this position is generally between $120,000 and $150,000. Actual starting base pay will be determined based on skills, experience, location, and other non-discriminatory factors permitted by law. For some roles, total compensation may also include variable incentives, bonuses, benefits, and/or other awards as outlined in the offer of employment.

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.