Licensing & Registration Compliance Lead; Senior
Listed on 2026-10-02
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Business
Regulatory Compliance Specialist, Financial Compliance
New Edge Capital Group is seeking a Licensing & Registration Manager to oversee the firm-wide licensing and registration lifecycle for RRs, IARs, and dual registrants across FINRA, the SEC, and state jurisdictions. You will manage Form U4/U5/BR filings, Form ADV amendments, and ongoing regulatory reporting with independence during peak periods.
The role requires exceptional attention to detail, supervisory experience, and familiarity with FINRA rules, Advisers Act requirements, and insurance
The Licensing & Registration Compliance Lead (Senior) role at Appone is now open for applications in United States.
Full responsibilities and requirements are described in the listing above.
Learn more about the Licensing & Registration Compliance Lead (Senior) role in the description above.
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