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Regulatory Compliance Specialist Risk Manager/Analyst

Senior Trade & Conduct Surveillance Lead

Job in San Diego, San Diego County, California, 92189, USA
Listing for: advisortalentsolutions
Full Time position
Listed on 2026-02-04
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Risk Manager/Analyst
Salary/Wage Range or Industry Benchmark: 85000 - 115000 USD Yearly USD 85000.00 115000.00 YEAR
Job Description & How to Apply Below
A leading investment firm in San Diego is seeking an experienced Surveillance Principal to enhance trade and conduct surveillance programs. This role involves monitoring trading activities, investigating suspicious behavior, and ensuring compliance with regulatory frameworks. Candidates should possess a minimum of 5 years in the securities industry and an active FINRA Series 24 license. A bachelor's degree in a relevant field is preferred.

Benefits include a salary ranging from $85,000 to $115,000 annually, along with comprehensive medical, dental, and retirement options.
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Position Requirements
10+ Years work experience
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