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Risk Manager/Analyst Regulatory Compliance Specialist

Senior Broker-Dealer Compliance & Supervisory Lead

Job in Atlanta, Fulton County, Georgia, 30383, USA
Listing for: SFA Partners
Full Time position
Listed on 2026-01-22
Job specializations:
  • Management
    Risk Manager/Analyst, Regulatory Compliance Specialist
  • Finance & Banking
    Risk Manager/Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services firm in Atlanta seeks an experienced compliance and supervision professional to report to the Chief Supervisory Officer. The role includes supervising OSJ managers, reviewing trade activity, and ensuring compliance with regulations. Candidates should have over 5 years in broker-dealer supervision, knowledge of investment products, and hold Series 7 and 24 certifications. Strong communication and analytical skills are essential for this fast-paced environment.

Opportunities for travel may be involved.
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Position Requirements
10+ Years work experience
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