More jobs:
Regulatory Supervisory Director; FINRA/SEC
Job in
Sandy, Salt Lake County, Utah, 84092, USA
Listed on 2026-01-14
Listing for:
Diversify Advisor Network
Full Time
position Listed on 2026-01-14
Job specializations:
-
Management
Risk Manager/Analyst, Regulatory Compliance Specialist, Wealth Management, Financial Manager
Job Description & How to Apply Below
A leading wealth management firm in Sandy, Utah is looking for a Director, Supervisory Principal to oversee regulatory compliance for its brokerage and advisory platforms. The successful candidate will be responsible for managing a team of supervisors, ensuring compliance with FINRA and SEC regulations, and supporting the firm's readiness for regulatory examinations. The role requires strong leadership skills and a minimum of 5 years in supervisory or compliance roles.
Benefits include medical insurance, 401(k) matching, and generous paid time off.
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