Senior Supervision & Compliance Lead; Broker-Dealer & RIA
Job in
Beachwood, Cuyahoga County, Ohio, 44122, USA
Listed on 2026-01-11
Listing for:
Stratos
Full Time
position Listed on 2026-01-11
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A growing financial services firm is seeking a highly motivated individual for a supervisory role to support the supervision team. This position involves conducting daily reviews, serving as a contact for financial advisors, and ensuring compliance with legal requirements. Candidates should possess a Bachelor's degree and have relevant FINRA certifications. Strong communication skills and detail orientation are essential in this fast-paced environment, along with proficiency in Microsoft Office and familiarity with industry tools such as Orion and Salesforce.
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Position Requirements
10+ Years
work experience
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