Senior Compliance Specialist

A financial services enterprise that owns and operates a network of industry-leading firms that empower independent financial advisors is seeking a Senior Compliance Specialist to support and strengthen the firm's compliance program within a Broker-Dealer environment. This individual will help ensure adherence to Client and SEC regulations, maintain compliance policies and procedures, support regulatory examinations, and assist with firm-wide compliance initiatives.

• Maintain and update compliance manuals, policies, and supervisory procedures
• Support compliance testing, monitoring, branch inspections, and internal audits
• Research and communicate regulatory updates and industry changes
• Assist with compliance training and promote a strong compliance culture
• Track corrective actions and support resolution of compliance issues
• Partner with internal teams on compliance projects and regulatory initiatives
• Develop and enhance compliance controls and monitoring processes

• 5 10+ years of compliance experience within Financial Services or an Independent Broker/Dealer environment
• Strong knowledge of Client and SEC regulations, including correspondent clearing and custody relationships
• Excellent communication, analytical, and organizational skills
• Ability to manage multiple priorities in a fast-paced environment
• Bachelor's degree preferred in Finance, Business, or related field

• SIE
• Series 7 (8+ years required)
• Series 63 or 66
• Series 24 (8+ years required)