Investment Compliance Supervisor
Job in
Miami, Miami-Dade County, Florida, 33222, USA
Listed on 2026-07-04
Listing for:
Dormont Manufacturing Co
Full Time
position Listed on 2026-07-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Dormont Manufacturing Co is seeking a Sr. Associate in Investment Supervision to lead a team of Financial Advisors in Miami. This role involves ensuring compliance with FINRA rules, reviewing new accounts, and coordinating with various teams to resolve issues. Candidates should have extensive experience in financial regulations and strong analytical skills.
The position requires a Bachelor's degree or equivalent experience and FINRA certifications. You will contribute to enhancing compliance processes and be expected to work independently while collaborating with the team.
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