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Regulatory Compliance Specialist

Broker-Dealer Operations Director — Hybrid​/Remote Leadership

Remote / Online - Candidates ideally in
Darien, Fairfield County, Connecticut, 06820, USA
Listing for: NewEdge Capital Group
Full Time, Remote/Work from Home position
Listed on 2026-02-14
Job specializations:
  • Management
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 100000 - 130000 USD Yearly USD 100000.00 130000.00 YEAR
Job Description & How to Apply Below
A wealth management firm is seeking a Director of Broker-Dealer Operations to oversee and enhance core operational functions in a hybrid role based in Pittsburgh, PA. The ideal candidate will have 5-15 years of experience in broker-dealer operations, ensuring regulatory compliance while leading a team focused on process automation and efficiency. Responsibilities include managing daily operations, training staff, and developing technology strategies.

The candidate should possess strong leadership, problem-solving skills, and relevant FINRA qualifications.
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