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Regulatory Compliance Specialist

Compliance Counsel - Equity Research & Regulatory Training

Job in Little Rock, Pulaski County, Arkansas, 72208, USA
Listing for: Stephens
Apprenticeship/Internship position
Listed on 2026-01-14
Job specializations:
  • Law/Legal
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A financial services firm is seeking a compliance officer to oversee equity research reports, ensure adherence to regulations, and provide guidance to research personnel. The ideal candidate will have a Juris Doctorate and at least 3 years of related experience. Responsibilities include training staff, reviewing communications, and responding to regulatory inquiries. Join a dynamic team ensuring compliance with financial regulations while maintaining high research standards.
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