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Regulatory Compliance Specialist Wealth Management

Wealth Market Compliance & Growth Leader

Job in Newport Beach, Orange County, California, 92659, USA
Listing for: The Association of Technology, Management and Applied Engineering
Full Time position
Listed on 2026-01-05
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Wealth Management
Salary/Wage Range or Industry Benchmark: 112200 - 160000 USD Yearly USD 112200.00 160000.00 YEAR
Job Description & How to Apply Below
A leading wealth management firm in Newport Beach is seeking a compliance manager to oversee compliance and administrative functions. This role involves monitoring advisor activities and coaching financial advisors in strategic alignment. Candidates should have a minimum of 5 years of experience and relevant FINRA licenses. A bachelor's degree or equivalent work experience is desired. The position offers a competitive salary range of $112,200 - $160,000 annually and comprehensive benefits.
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