Senior Compliance & Branch Oversight Specialist
Job in
Greendale, Milwaukee County, Wisconsin, 53129, USA
Listed on 2026-08-11
Listing for:
SoTalent
Full Time
position Listed on 2026-08-11
Job specializations:
-
Business
Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
SoTalent is seeking a Compliance Oversight Consultant to conduct branch inspections, assess supervisory controls, and evaluate regulatory compliance for FINRA, SEC, state insurance, and firm requirements. You will partner with field leadership to mitigate risk and strengthen supervisory practices.
The role emphasizes communication, investigative rigor, and stakeholder engagement as you review offices of supervision, complete file reviews, and prepare clear reports with recommendations for
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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