Hybrid Senior Compliance Leader - Broker-Dealer & RIA

A prominent financial services provider based in Denver is seeking a Senior Manager, Compliance to lead compliance efforts in their retail broker-dealer and investment advisor businesses. The ideal candidate has over 8 years of regulatory experience, strong people leadership skills, and in-depth knowledge of SEC and FINRA regulations. The role involves identifying compliance risks, managing advisory compliance, and leading compliance teams. A hybrid work schedule is offered, along with a competitive salary ranging from $120,000 to $145,000 and various benefits, including bonuses and health insurance. #J-18808-Ljbffr