×
Apply for Jobs Apply for Jobs Post a Job Post a Job Local Jobs Home
Register Here to Apply for Jobs or Post Jobs. X
More jobs:
Regulatory Compliance Specialist

Strategic Compliance Counsel — Equity Research & Sales

Job in Little Rock, Pulaski County, Arkansas, 72208, USA
Listing for: Stephens Inc.
Full Time position
Listed on 2026-02-01
Job specializations:
  • Law/Legal
    Regulatory Compliance Specialist
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 150000 - 200000 USD Yearly USD 150000.00 200000.00 YEAR
Job Description & How to Apply Below
A financial services company is seeking a Compliance Counsel in Little Rock, Arkansas. This full-time role involves reviewing equity research reports, providing regulatory guidance, and responding to inquiries from clients and regulators. The ideal candidate must possess a Juris Doctorate and have over 3 years of relevant experience. Certifications such as the Securities Industry Essentials and Series 7 are essential, with a preference for a Series 14 Compliance Officer Exam certification.

This position is on-site and offers an opportunity to engage in a dynamic compliance environment.
#J-18808-Ljbffr
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
 
 
 
Search for further Jobs Here:
(Try combinations for better Results! Or enter less keywords for broader Results)
Location
Increase/decrease your Search Radius (miles)

Job Posting Language
Employment Category
Education (minimum level)
Filters
Education Level
Experience Level (years)
Posted in last:
Salary
Advanced Search