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Regulatory Compliance Specialist Financial Crime Corporate Finance Financial Compliance

Senior Securities Compliance Principal

Job in Green Bay, Brown County, Wisconsin, 54311, USA
Listing for: Associated Bank
Full Time position
Listed on 2026-01-23
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Crime, Corporate Finance, Financial Compliance
Job Description & How to Apply Below
A regional financial institution in Wisconsin is seeking a General Securities Principal to ensure regulatory compliance across broker/dealer transactions. The ideal candidate will have over 3 years of financial services experience, with active FINRA licenses. Responsibilities include conducting suitability reviews and developing procedures for compliance. This position not only offers competitive compensation but also an environment that promotes professional growth and supports internal career advancement.
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Position Requirements
10+ Years work experience
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