Senior Regional Compliance Associate
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-09-15
Listing for:
Jobtailor
Full Time
position Listed on 2026-09-15
Job specializations:
-
Management
Regulatory Compliance Specialist -
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
- Serve as the primary compliance resource for the assigned region
- Support advisors and partner with business leadership on supervisory matters
- Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations
- Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel
- Provide guidance, training, and direction on compliance-related matters to regional advisors
- Investigate, document, and help resolve client complaints with the broader Compliance team
- Support regulatory examinations, internal audits, and ongoing Compliance initiatives
- Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging
- Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards
- 5+ years of financial services experience in a compliance or supervisory role
- Demonstrated experience conducting principal-level or OSJ supervisory review
- Active Series 66 and Series 24 in good standing
- Comprehensive knowledge of FINRA and SEC rules and regulations
- High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters
- Bachelor's degree or higher
- Some regional travel is required (~30%)
- Working hours may vary depending on the region supported
Demonstrates extensive knowledge of compliance regulations, including FINRA and SEC rules, while providing guidance and training to advisors. Capable of conducting supervisory reviews and managing compliance-related matters with high attention to detail and integrity.
Highest-signal resume keywords- 5+ Years Financial Services Experience
- Active Series 66 Certification
- Active Series 24 Certification
- Principal-Level Supervisory Review
- Compliance Training and Guidance
- Compliance Review
- Supervisory Reporting
- Trade Blotter Review
- Client Complaint Investigation
- Regulatory Examination Support
- Attention to Detail
- Sound Judgment
- Integrity
- Series 66
- Series 24
- FINRA Regulations
- SEC Regulations
- Compliance Standards
- Financial Services Compliance
- OSJ Supervisory Review
Position Requirements
10+ Years
work experience
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