×
Apply for Jobs Apply for Jobs Post a Job Post a Job Local Jobs Home
Register Here to Apply for Jobs or Post Jobs. X
More jobs:
Regulatory Compliance Specialist Corporate Finance

OBA & Securities Compliance Lead

Job in Hanahan, Berkeley County, South Carolina, 29410, USA
Listing for: Associate Staffing
Full Time position
Listed on 2026-02-19
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Corporate Finance
Salary/Wage Range or Industry Benchmark: 80000 - 100000 USD Yearly USD 80000.00 100000.00 YEAR
Job Description & How to Apply Below
A leading financial services firm in South Carolina is looking for a Supervisory Principal to oversee the review of Outside Business Activity and Private Securities Transaction Requests for financial advisors. This role ensures that advisors meet the company's standards and perform due diligence reviews. Candidates must hold FINRA Series 7, 24, and 63 (or 66) licenses along with a minimum of 2 years experience in the field.

Proficiency in Microsoft applications is essential for success in this position.
#J-18808-Ljbffr
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
 
 
 
Search for further Jobs Here:
(Try combinations for better Results! Or enter less keywords for broader Results)
Location
Increase/decrease your Search Radius (miles)

Job Posting Language
Employment Category
Education (minimum level)
Filters
Education Level
Experience Level (years)
Posted in last:
Salary
Advanced Search