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Regulatory Compliance Specialist Corporate Finance

Senior Securities Principal, Regulatory Compliance Leader

Job in Milwaukee, Milwaukee County, Wisconsin, 53244, USA
Listing for: Associated Bank - Corp
Full Time position
Listed on 2026-01-25
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Corporate Finance
Salary/Wage Range or Industry Benchmark: 80000 - 100000 USD Yearly USD 80000.00 100000.00 YEAR
Job Description & How to Apply Below
A financial services institution in Milwaukee is seeking a General Securities Principal responsible for ensuring compliance across broker/dealer transactions. This role involves conducting suitability reviews, managing documentation accuracy, and collaborating with internal teams. Candidates should possess a bachelor's degree and multiple years of financial services experience, ideally with relevant FINRA licenses. Competitive compensation and professional growth opportunities are offered, making it an excellent choice for ambitious professionals.
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Position Requirements
10+ Years work experience
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