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Regulatory Compliance Specialist

Remote Securities Principal: Compliance & Oversight

Remote / Online - Candidates ideally in
Green Bay, Brown County, Wisconsin, 54311, USA
Listing for: Associated Bank - Corp
Remote/Work from Home position
Listed on 2026-03-12
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 80000 - 100000 USD Yearly USD 80000.00 100000.00 YEAR
Job Description & How to Apply Below
A prominent financial institution is seeking a General Securities Principal to join its AIS team. This remote-eligible role focuses on ensuring regulatory compliance and suitability in broker/dealer transactions. The candidate will review investment activities, enhance compliance processes, and maintain high integrity standards. With a requirement for a bachelor's degree and 3+ years in financial services, along with necessary FINRA licenses, this position offers competitive salaries and ample opportunities for professional growth.

Apply today for a chance to join a company that values integrity and accountability.
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