More jobs:
Broker-Dealer Compliance Analyst - Hybrid; FINRA-Driven
Job in
San Diego, San Diego County, California, 92189, USA
Listed on 2026-02-01
Listing for:
Kingswood U.S.
Full Time
position Listed on 2026-02-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Crime -
Law/Legal
Regulatory Compliance Specialist, Financial Crime
Job Description & How to Apply Below
A diversified financial services firm is seeking a Compliance Analyst to enhance their compliance team in San Diego. This full-time, hybrid role requires extensive broker-dealer compliance experience and a FINRA Series 7 license. The candidate will support the firm's compliance program, conduct audits, and maintain supervision protocols. Candidates without relevant broker-dealer compliance background or a Series 7 license should not apply.
The firm offers a collaborative environment and the chance to engage with senior leadership.
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