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Regional Compliance Leader - Broker-Dealer; Remote
Remote / Online - Candidates ideally in
Town of Poland, Jamestown, Chautauqua County, New York, 14701, USA
Listed on 2026-01-23
Town of Poland, Jamestown, Chautauqua County, New York, 14701, USA
Listing for:
Wise Home Office
Remote/Work from Home
position Listed on 2026-01-23
Job specializations:
-
Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: Town of Poland
A financial services firm is seeking a Regional Supervisory Principal – Broker-Dealer to oversee compliance with regulatory requirements. The role involves supervising registered representatives, conducting audits, and providing compliance guidance. Candidates should have a bachelor’s degree along with 7-10 years of experience in compliance or supervisory roles in the financial sector. Knowledge of FINRA and SEC regulations is essential, along with strong communication skills.
The position allows for remote work with limited travel.
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