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Regulatory Compliance Specialist

Remote Securities Principal: Compliance & Supervision

Remote / Online - Candidates ideally in
Green Bay, Brown County, Wisconsin, 54311, USA
Listing for: Russell Tobin
Remote/Work from Home position
Listed on 2026-03-08
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 leading Midwest financial institution is looking for a General Securities Principal to support broker-dealer supervision and ensure compliance with regulations. This remote eligible position involves conducting suitability assessments and approving transactions while working closely with another Principal. Minimum qualifications include active Series 7 and 66 or 63 licenses along with 3+ years of experience in financial services. The role also requires occasional travel to the office for onboarding and meetings.
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