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Regulatory Compliance Specialist

Compliance Associate, Wealth Management & SEC Regs

Job in Franklin, Williamson County, Tennessee, 37068, USA
Listing for: Vaco Recruiter Services
Full Time position
Listed on 2026-06-18
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 75000 - 85000 USD Yearly USD 75000.00 85000.00 YEAR
Job Description & How to Apply Below
A growing SEC-Registered wealth management firm located in Cool Springs, TN, is looking for a Compliance Associate. In this role, you will support the Chief Compliance Officer by managing compliance processes, performing compliance testing, and ensuring regulatory adherence. The ideal candidate will possess a Bachelor's degree and familiarity with compliance monitoring software. This position offers an annual salary ranging from $75,000 to $85,000 based on experience and includes benefits like medical, dental, 401(k) participation, and potential bonuses.
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Position Requirements
10+ Years work experience
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