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Senior Compliance Lead Investment Advisory
Job in
Birmingham, Jefferson County, Alabama, 35275, USA
Listed on 2026-03-04
Listing for:
StoneX Group
Full Time
position Listed on 2026-03-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services firm located in Birmingham, Alabama is seeking a Senior Compliance Officer for its Investment Advisor Services. This role supports the retail business lines and is responsible for compliance guidance, regulatory filings, and reviewing marketing materials. Candidates must possess a Bachelor's degree, strong analytical and problem-solving skills, and COMPLIANCE certifications such as FINRA Series 7, 65 or 66.
The position demands expertise in MS Excel and a solid understanding of investment advisory operations. This opportunity fosters professional growth in compliance and regulatory tasks.
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Position Requirements
10+ Years
work experience
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