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Regulatory Compliance Specialist Financial Services

Advertising Compliance Specialist | Regs & Reviews

Job in Cincinnati, Hamilton County, Ohio, 45208, USA
Listing for: Ultimus Fund Solutions
Full Time position
Listed on 2026-03-12
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A financial services firm in Cincinnati is looking for a Compliance Specialist – Advertising to assist with the Broker-Dealer compliance program. This role involves conducting compliance reviews, website audits, and assisting with audits related to compliance. Ideal candidates possess a Bachelor's degree and at least 2 years of experience in the financial industry, along with FINRA Series 7 or 24 certification.

The firm values integrity, critical thinking, and effective communication.
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