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Regulatory Compliance Specialist Financial Compliance

Senior Branch Compliance Examiner — Remote Eligible

Remote / Online - Candidates ideally in
La Vista, Sarpy County, Nebraska, 68128, USA
Listing for: Advisor Group
Full Time, Remote/Work from Home position
Listed on 2026-01-12
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Compliance
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a Senior Branch Office Examiner to oversee compliance exams for Financial Advisors. The role involves conducting up to 120 exams annually, requiring independent travel and strong analytical skills. Candidates should have 5+ years of experience in compliance, along with FINRA Series 7 and 24 licenses. This is a full-time position based in La Vista, with competitive salary and benefits.
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Position Requirements
10+ Years work experience
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