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Regulatory Compliance Specialist

Senior Regulatory Sales Oversight Leader

Job in Denver, Denver County, Colorado, 80285, USA
Listing for: Kappaalphapsi1911
Full Time position
Listed on 2026-03-12
Job specializations:
  • Management
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 65000 - 75000 USD Yearly USD 65000.00 75000.00 YEAR
Job Description & How to Apply Below
A prominent financial services firm based in Denver, CO is seeking a Sr Sales Supervision Principal to oversee compliance for registered representatives. The ideal candidate will have a Bachelor's degree and at least five years of relevant experience, including knowledge of securities regulations. Responsibilities include conducting account reviews, providing training to staff, and managing regulatory compliance processes. This position offers a competitive salary between $65,000 and $75,000 annually, along with additional benefits and an annual bonus potential.
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Position Requirements
10+ Years work experience
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