Compliance Specialist - Financial Services

Compliance Specialist - Financial Services Compliance Specialist - Financial Services

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Compensation: $90,000 – $120,000 per year

A well-established financial services organization is seeking a Director of Supervision to join their leadership team. This role plays a key part in shaping a culture of compliance and managing risk across the office. The ideal candidate brings a mix of strong compliance knowledge, leadership capability, and the ability to build trusted relationships with financial professionals.

What You’ll Do:

• Review and supervise various systems including flagged email and social media communications, transaction trends, and other compliance monitoring tools
• Conduct on-site inspections, client file reviews, and compliance interviews
• Maintain accurate books and records for field offices in accordance with FINRA requirements
• Provide compliance and risk management guidance to financial representatives and support staff
• Develop supervisory plans to address non-standard behavior or sales practice concerns
• Contribute to the strategic direction of the local compliance program
• Train financial professionals and staff on compliance and regulatory topics

What You’ll Need:

• Active FINRA Series 7, 9/10, and 63 registrations (or Series 7, 24, 4, 53, and 63 as a substitute)
• Active Life/Health licenses or ability to obtain within 3 months
• 5–7 years of experience in the financial services industry with a focus on compliance/supervision
• In-depth understanding of industry regulations and supervisory procedures
• Strong decision-making, critical thinking, and organizational skills
• High attention to detail and ability to handle sensitive communications
• Excellent verbal and written communication skills

What Makes You a Great Fit:

• Comfortable working independently and taking initiative
• Strong communicator and presenter across audiences
• Team-oriented with the ability to partner effectively across leadership
• Skilled at navigating change and adapting to new regulations
• Proven ability to manage relationships and provide sound compliance guidance

Seniority level

• Seniority level Director

Employment type

• Employment type
  
  Full-time

Job function

• Job function Finance

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