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Regulatory Compliance Specialist

Lead Front Office Advice & Guidance Specialist

Job in Greenwood Village, Arapahoe County, Colorado, USA
Listing for: Empower Retirement
Full Time position
Listed on 2026-01-01
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading financial services firm in Colorado is looking for a Lead Specialist of Advice and Guidance to ensure high-quality client advice across front-office channels. You will provide regulatory interpretations, develop compliant policies, and collaborate with various teams to enhance advice delivery. Ideal candidates have over 7 years in financial services, strong analytical skills, and relevant FINRA licenses. This position offers competitive pay and a supportive work environment.
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