Regional Compliance Leader - Broker-Dealer (Remote)

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. #J-18808-Ljbffr