Senior Compliance Lead Investment Advisory
Job in
Miami, Miami-Dade County, Florida, 33222, USA
Listed on 2026-05-20
Listing for:
UNAVAILABLE
Full Time
position Listed on 2026-05-20
Job specializations:
-
Finance & Banking
Financial Services, Regulatory Compliance Specialist
Job Description & How to Apply Below
Join our team as a Senior Compliance Officer, supporting the retail business lines of Stone
X Wealth Management and Stone
X Group in Miami, Florida. You will provide guidance on the Code of Ethics and Written Supervisory Policies while ensuring compliance with established guidelines.
The ideal candidate will possess strong communication skills and a high level of proficiency in MS Excel. This role requires a Bachelor’s degree and 5 years of relevant experience in compliance or the financial industry, with preferred qualifications including FINRA Series licenses.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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