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Regulatory Compliance Specialist Financial Services

Regulatory Compliance Associate – Investment Advisers

Job in Dallas, Dallas County, Texas, 75215, USA
Listing for: IQ-EQ
Full Time position
Listed on 2026-03-03
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Salary/Wage Range or Industry Benchmark: 63000 - 72000 USD Yearly USD 63000.00 72000.00 YEAR
Job Description & How to Apply Below
A leading Investor Services group is seeking a compliance professional to provide regulatory compliance support to investment adviser clients, ensuring adherence to SEC rules. Responsibilities include monitoring compliance programs, drafting policies, and conducting compliance reviews. The ideal candidate holds a bachelor's degree and possesses strong analytical and communication skills, thriving in a fast-paced environment. A comprehensive benefits package is offered, with a salary range of $63,000–$72,000 depending on experience.
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Position Requirements
10+ Years work experience
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