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Regulatory Compliance Specialist Financial Services Financial Compliance Risk Manager/Analyst

Hybrid Broker-Dealer Compliance Analyst

Job in San Diego, San Diego County, California, 92189, USA
Listing for: Kingswood U.S.
Full Time position
Listed on 2026-01-24
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services, Financial Compliance, Risk Manager/Analyst
Salary/Wage Range or Industry Benchmark: 100000 - 125000 USD Yearly USD 100000.00 125000.00 YEAR
Job Description & How to Apply Below
A financial services firm in San Diego is seeking an experienced Compliance Analyst to support its broker-dealer compliance program. This full-time hybrid role requires substantial compliance experience and relevant FINRA licenses. Key responsibilities include conducting compliance reviews, assisting with audits, and ensuring adherence to regulatory requirements. The ideal candidate must possess strong analytical and communication skills.

This role offers a collaborative environment with exposure to senior leadership.
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