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Regulatory Compliance Specialist

Broker-Dealer Sales & Compliance Lead

Job in Austin, Travis County, Texas, 78716, USA
Listing for: Insurance Administrative Solutions, L.l.c.
Full Time position
Listed on 2026-01-24
Job specializations:
  • Business
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services provider located in Austin, Texas, is seeking a Sales Supervisor to oversee Broker-Dealer activity and compliance. The ideal candidate will have at least two years' experience in the FINRA and SEC regulated space, possess necessary licenses, and demonstrate excellent communication and organizational skills. Responsibilities include supervising account reviews, developing training materials, and ensuring regulatory compliance.

This role offers a competitive compensation package and opportunities for professional growth.
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