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Compliance Manager - Broker-Dealer & IA, AI Governance
Job in
Denver, Delaware County, New York, 12421, USA
Listed on 2026-08-27
Listing for:
United States Digital Space LLC
Full Time
position Listed on 2026-08-27
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
United States Digital Space LLC is seeking a Compliance Manager, Broker-Dealer & Investment Adviser, to lead the operational engine of our retirement compliance program across RIA and BD entities. You will supervise governance of AI tools, drive exam readiness, and ensure the program remains defensible under SEC and FINRA scrutiny.
This role requires hands-on execution, strategic oversight, and the ability to move between policy and practical implementation in a regulated financial services
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