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Regulatory Compliance Specialist

VP, Advisor Channel Compliance — Financial Services

Job in La Vista, Sarpy County, Nebraska, 68128, USA
Listing for: Advisor Group
Full Time position
Listed on 2026-01-12
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 150000 - 190000 USD Yearly USD 150000.00 190000.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a VP of Compliance to oversee the investment adviser compliance program in a hybrid setting. The ideal candidate will lead compliance initiatives, engage with regulators, and implement technology solutions to enhance compliance processes. This role demands strong leadership and experience in investment adviser compliance. Attractive salary range of $150,000 - $190,000 with additional benefits including health insurance and a 401k plan.
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