Senior Regulatory Compliance Specialist, Broker-Dealer/RIA

A leading professional services firm in Cleveland is seeking a Compliance Specialist to support regulatory compliance and corporate governance initiatives. This role requires a minimum of 4 years of compliance experience, strong problem-solving skills, and proficiency in regulatory affairs with SEC and FINRA. The ideal candidate will conduct compliance monitoring, assist in preparing regulatory reports, and review business activities to mitigate risks. A bachelor's degree is preferred. This position is hybrid, allowing for both on-site and remote work. #J-18808-Ljbffr