Brokerage Compliance & Licensing Manager

SRS Real Estate Partners•Dallas, TX

16h

About The Position

The Brokerage Compliance & Licensing Manager supports the firm’s commercial real estate brokerage and capital markets operations by ensuring adherence to real estate licensing regulations, brokerage compliance requirements, and multi-state regulatory standards. This role oversees broker and entity licensing, transaction documentation, and marketing compliance to ensure brokerage activities meet applicable state and federal requirements. The position works closely with brokers, marketing, legal, and operations teams to maintain audit-ready deal files, review marketing materials for regulatory compliance, and ensure proper execution of brokerage agreements and disclosures. The ideal candidate brings strong experience in commercial real estate brokerage compliance and a working knowledge of multi-state licensing and regulatory requirements.

Requirements

Bachelor’s degree in Business, Real Estate, Finance, Legal Studies, or a related field preferred.
5+ years of experience in compliance, licensing, or brokerage operations within commercial real estate, preferably supporting capital markets transactions.
Strong knowledge of real estate licensing regulations, multi-state brokerage compliance, and Broker of Record requirements.
Experience administering Independent Contractor agreements, including offer letters, contract documentation, and compliance with brokerage policies.
Familiarity with commercial real estate transaction documentation, including listing agreements, engagement agreements, agency disclosures, and offering memorandums.
Experience reviewing brokerage marketing and advertising materials for regulatory compliance.
Experience maintaining transaction compliance files and supporting internal or regulatory audits.
Experience supporting multi-state brokerage operations and regulatory filings.
Strong organizational and documentation management skills with exceptional attention to detail.
Ability to interpret regulatory requirements and apply them within a brokerage environment.
Excellent communication skills and ability to work cross-functionally with brokers, legal teams, marketing, and operations staff.

Nice To Haves

Active or previously held real estate license preferred.

Responsibilities

Licensing Management
Facilitate real estate licensing for brokers and brokerage entities, including Broker of Record (BOR) oversight, producer licensing, renewals, and multi-state license compliance.
Maintain accurate licensing records and ensure timely renewals and regulatory filings.
Entity Verification & Transaction Structure
Review and confirm proper entity structure for documents, particularly those involving multi-state brokerage activity.
Ensure brokerage entities and advisors are properly registered and authorized to conduct business in the relevant jurisdictions.
Agreement & Disclosure Compliance
Verify and coordinate execution of required brokerage agreements and disclosures, including listing agreements, agency disclosures, engagement agreements, and other regulatory compliance documents.
Administration of Independent Contractor Offer and Agreement
Manage the end-to-end process for Independent Contractors to include offer letter, contractor and termination agreements for brokers and advisors, ensuring proper execution, documentation, and compliance with brokerage policies and legal requirements.
Maintain records for onboarding, amendments, and renewals.
Marketing & Communications Compliance Oversight
Review and approve marketing materials related to brokerage and capital markets transactions to ensure compliance with licensing requirements, regulatory disclosures, and brokerage branding standards.
Verify that materials include appropriate state licensing disclosures, brokerage identification, and other required regulatory language prior to external distribution.
Capital Markets Materials Compliance
Review offering memorandums, deal teasers, and other investor-facing marketing materials to confirm inclusion of required brokerage disclosures, licensing identifiers, and regulatory language before market distribution.
Advertising Record Retention & Regulatory Documentation
Maintain records of approved marketing and advertising materials in accordance with state real estate commission requirements.
Ensure materials are archived appropriately and retained for the applicable regulatory retention periods to support audits or regulatory inquiries.
State-Specific Regulatory Oversight
Monitor and ensure adherence to state-specific real estate regulations, brokerage requirements across multiple jurisdictions.
Deal File Audits
Perform routine internal deal file audits to confirm documentation accuracy, completeness, and adherence to company policies and regulatory requirements.
Monitor for compliance gaps, missing documentation, or process deviations, and coordinate corrective actions.
Ensure all deal files are maintained in an audit-ready state to support internal controls and external audit requests.
Regulatory Monitoring & Risk Mitigation
Stay current on regulatory changes affecting commercial real estate brokerage and capital markets transactions.
Provide guidance to brokers and internal teams to ensure compliance and minimize regulatory risk.
Cross-Functional Coordination
Collaborate with legal, marketing, finance, brokerage operations, and capital markets teams to ensure compliance processes are integrated throughout the transaction lifecycle.