Top 2746 Registrations manager Jobs in North Carolina

Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)
First Citizens Bank —Raleigh, NC
- $155,000 - $175,000 a year
- Full-time
- Remote
- 7 years
- High school diploma or GED
- Bachelor's degree
12d
Onboarding Specialist (Remote)
LeagueApps —Raleigh, NC
- $62,014 - $93,021 a year
- Remote
- Mid-level
- 2 years
- Communication skills
- Commuter assistance
- Health savings account
Quick Apply
Facility Revenue Manager, Ambulatory Surgery Centers - Remote, M-F
Duke Health —Durham, NC
- Full-time
- Remote
- Surgery
- Writing skills
- System design
- Employee assistance program
Operations Manager
Eaton —Youngsville, NC
- $97,000 - $143,000 a year
- Background check
- 3 years
- Bachelor's degree
- Retirement plan
Care Manager I-Non-Waiver (Full Time, Hybrid, Cumberland County, North Carolina Based)
Alliance Health —Fayetteville, NC
- $29.54 - $38.40 an hour
- Full-time
- Hybrid work
- LMFT
- Nursing
- Microsoft Excel
- Disability insurance
- Health insurance
2d
Psychiatrist- ACT
Elwyn —Raleigh, NC
- $200 - $245 an hour
- Weekends as needed
- Medicine
- Doctoral degree
- Psychiatry
Quick Apply
Assistant Branch Manager (Capital Branch)
Atlantic Union Bank —Raleigh, NC
- $48,517 - $72,721 a year
- Computer literacy
- Mid-level
- Office
- Profit sharing
Speech Language Pathologist
Wallace Rehabilitation and Healthcare —Pink Hill, NC
- Full-time
- Skilled nursing facility
- HIPAA
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
14d
Certified Occupational Therapy Assistant
Laurel Park Rehabilitation and Healthcare Center —Elizabeth City, NC
- Full-time
- Skilled nursing facility
- Mid-level
- Associate's degree
- 401(k)
- Paid time off
Quick Apply
21h
Occupational Therapist
Goldsboro Rehabilitation and Healthcare —Goldsboro, NC
- Full-time
- Skilled nursing facility
- Management
- Doctoral degree
- Paid time off
- Flexible schedule
Quick Apply
12d
WATER AND WASTEWATER CONSTRUCTION PROJECT MANAGER
The City of Sailsbury, NC —Salisbury, NC
- $69,170.16 - $110,672.26 a year
- Call employer
- Civil engineering
- Mid-level
- Driver's License
Warehouse Manager – Telecommunications
Current Wireless Solutions —Charlotte, NC
- From $60,000 a year
- Temporary
- Clean driving record
- Construction site
- Mid-level
- Paid holidays
- Health insurance
Quick Apply
6d
Physical Therapist
LevelUp Staff —Goldsboro, NC
- $40 - $48 an hour
- Full-time
- Bachelor of Science
- Physical & Rehabilitation Medicine
- Mid-level
- Disability insurance
- Health insurance
Quick Apply
Delivery Driver
United Carolina Beverages & Caffey Distributing Company —Hickory, NC
- Clean driving record
- CDL A
- Clean MVR report
3d
Founding Market Partner – Residential/Commercial Exteriors Opportunity
CR3 American Exteriors —Winston-Salem, NC
- $60,000 - $298,870 a year
- Full-time
- Residential
- Team management
- Fair chance
Quick Apply
Speech Language Pathologist
Wallace Rehabilitation and Healthcare —Wallace, NC
- Full-time
- Skilled nursing facility
- HIPAA
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
7d
Sports & Facilities Lead
YMCA of Western North Carolina —Asheville, NC
- $15.69 an hour
- Weekends as needed
- Microsoft Excel
- Microsoft Outlook
- Ability to walk for extended periods
- Disability insurance
- Health insurance
Quick Apply
3d
Physical Therapist 10K Relocation Bonus to Hertford NC
Hertford Rehabilitation and Healthcare —Raleigh, NC
- Email
- Bachelor of Science
- Physical & Rehabilitation Medicine
- Mid-level
- Paid time off
- Flexible schedule
Quick Apply
Hospice Registered Nurse
Gentiva —Nashville, NC
- Full-time
- CPR Certification
- Nursing
- Medication administration
Quick Apply
Experienced Maintenance Technician for The Cameron Apts. in Wilson, NC
Brazos Residential Management —Wilson, NC
- $26 - $28 an hour
- Weekends as needed
- Carpentry
- Customer service
- 5 years
- Health savings account
- Health insurance
Quick Apply
11d

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registrations manager jobs near north carolina

Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)

First Citizens Bank -
Raleigh, NC

Apply Now

Job Details

Full-time
$155,000 - $175,000 a year
12 days ago

Qualifications

Investigations regulatory compliance
Incident Escalation
Series 7
Securities law compliance support experience
FINRA License
Stakeholder relationship building
Senior leadership
Stakeholder management

Full Job Description

Overview:

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

The Compliance Manager is a senior leader within Compliance, responsible for oversight of the firm’s Broker-Dealer and Registered Investment Adviser (RIA) complaint management programs, representative investigations, disciplinary processes and Licensing & Registrations function. This role combines strategic leadership with hands-on execution, managing complex matters while driving consistency, scalability, and regulatory compliance across multiple functions.

The ideal candidate brings deep expertise in broker-dealer complaint handling and investigations, strong regulatory knowledge, and sound judgment in assessing conduct and supervisory risk. A strong understanding of FINRA Rule 4530, complaint classification standards, and disclosure requirements are essential.

Responsibilities:

Complaint Program Leadership & Enhancement

Lead and enhance the firm’s Complaint Management Program, across BD, RIA, and Insurance businesses
Oversee the complaint investigations, escalation, and resolution, directly handling high-risk matters
Ensure accurate application of FINRA problem/ product codes, and disclosure requirements
Manage Rule 4530 reporting, including quarterly 4530(d) filings and event-driven reporting
Develop reporting, controls and quality assurance processes to identify trends, identify emerging risks, and drive remediation
Implement improvements to increase program effectiveness, consistency, and scalability

Representative Investigations

Lead investigations into registered representatives and associated people’s conduct, sales practice and supervisory matters
Partner with Legal, Human Resources, and business leadership on escalation, resolution, and disciplinary outcomes
Support regulatory inquiries, responses, and disclosure obligations

Licensing & Registration Oversight

Oversee Licensing & Registration to ensure accurate and timely regulatory filings and registration processes are executed accurately and in accordance with applicable requirements

Qualifications:

Bachelor's Degree and 8 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience OR High School Diploma or GED and 12 years of experience in Compliance, Legal, Audit, Regulatory Compliance Management, Banking or other related experience
7+ years of broker-dealer and/or RIA compliance experience.
Strong experience in complaints, investigations, and regulatory reporting
Deep knowledge of FINRA rules, including Rule 4530, U4/U5, and complaint classification standards
Proven leadership and ability to manage complex regulatory matters
FINRA Series 7, 24, and 63/65 or 66 licenses (or ability to obtain shortly after hire).

Preferred Qualifications

Experienced in a large, dual-registrant financial institution
Strong investigative, risk assessment, and escalation skills
Executive communication and stakeholder management expertise
Insurance Licensing/Life & Health experience

This job posting is expected to remain active for 14 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 $155,000 and $175,000. 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.

Apply Now

Refine Your Search

registrations manager jobs in north carolina

Senior Manager Compliance - Broker-Dealer & RIA (Complaints/Licensing & Registrations)(Remote)

Onboarding Specialist (Remote)

Facility Revenue Manager, Ambulatory Surgery Centers - Remote, M-F

Operations Manager

Care Manager I-Non-Waiver (Full Time, Hybrid, Cumberland County, North Carolina Based)

Psychiatrist- ACT

Assistant Branch Manager (Capital Branch)

Speech Language Pathologist

Certified Occupational Therapy Assistant

Occupational Therapist

WATER AND WASTEWATER CONSTRUCTION PROJECT MANAGER

Warehouse Manager – Telecommunications

Physical Therapist

Delivery Driver

Founding Market Partner – Residential/Commercial Exteriors Opportunity

Speech Language Pathologist

Sports & Facilities Lead

Physical Therapist 10K Relocation Bonus to Hertford NC

Hospice Registered Nurse

Experienced Maintenance Technician for The Cameron Apts. in Wilson, NC

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