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Financial Sales Regulatory Compliance Specialist

Broker-Dealer Sales & Compliance Lead

Job in Austin, Travis County, Texas, 78716, USA
Listing for: Integrity
Full Time position
Listed on 2026-01-12
Job specializations:
  • Finance & Banking
    Financial Sales, Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A leading financial services distributor is looking for a Broker‑Dealer Sales Supervision professional in Austin, Texas. This role involves supervising BD activities, ensuring compliance, and training financial professionals. Ideal candidates will possess knowledge of FINRA regulations, strong organizational skills, and a commitment to a collaborative environment. A college degree and relevant licenses are preferred. Join a dynamic team and contribute to the growth of a company dedicated to innovative financial solutions.
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