Compliance Specialist - Financial Services
Job in
Dallas, Dallas County, Texas, 75215, USA
Listed on 2026-03-01
Listing for:
Allworth Financial
Part Time
position Listed on 2026-03-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A reputable investment advisory firm located in Dallas, Texas is looking for a Compliance Specialist to support the compliance program. Key duties include implementing the compliance program, engaging in surveillance activities, handling requests for marketing approvals, and preparing regulatory filings. Ideal candidates will have a bachelor’s degree and 3-5 years of relevant experience in investment advisor compliance, along with necessary securities licenses.
The company offers competitive salary and benefits, including flexible working arrangements.
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