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Senior Compliance Leader BD & RIA Oversight
Job in
Fairfield, Jefferson County, Iowa, 52557, USA
Listed on 2026-02-16
Listing for:
Cambridge Investment Research, Inc.
Full Time
position Listed on 2026-02-16
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services firm in Iowa seeks an Assistant Vice President of Compliance to lead compliance efforts across its broker-dealer and investment adviser operations. This role requires over 10 years of compliance experience and strong leadership skills to manage complex regulatory environments. Key responsibilities include developing effective compliance policies, assessing risks, and collaborating with business leaders. The ideal candidate must hold FINRA Series 7 and 24 certifications, with a focus on ethical practices and continuous improvement.
A hybrid work schedule is offered.
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Position Requirements
10+ Years
work experience
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