Wealth Management Supervisory Principal - Compliance Lead
Job in
Highland, Madison County, Illinois, 62249, USA
Listed on 2026-08-31
Listing for:
Mesirow Financial Holdings, Inc.
Full Time
position Listed on 2026-08-31
Job specializations:
-
Management
Regulatory Compliance Specialist, Wealth Management -
Finance & Banking
Regulatory Compliance Specialist, Wealth Management, Financial Compliance
Job Description & How to Apply Below
Mesirow Financial Holdings, Inc. is seeking a Supervisory Principal for Wealth Management in Highland Park, IL. The role reports to the Chief Operating Officer and focuses on day-to-day regulatory compliance and supervision of Wealth Advisor teams.
The candidate will review accounts, monitor trading, ensure policy adherence, and collaborate with Legal/Compliance to address AML and other issues. A strong supervisory background is required.
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