Senior Regulatory Oversight Associate
Listed on 2026-10-16
-
Finance & Banking
Regulatory Compliance Specialist -
Law/Legal
Regulatory Compliance Specialist
Wedbush Securities in Pasadena seeks a Senior Associate, Regulatory Supervision to oversee Prime Brokerage activity, perform due diligence and assess regulatory changes. The role focuses on compliance reviews and supervisory controls across correspondent clients and clearing functions.
The ideal candidate has 5+ years in regulatory supervision, FINRA licenses, and deep knowledge of CAIS/CAT, DMA and Large Trader Rules.
We have an opening for a Senior Regulatory Oversight Associate in Pasadena, CA, United States within Legal, Management & Operations.
The Senior Regulatory Oversight Associate role at Wedbush is now open for applications in Pasadena, CA, United States.
Join us at Wedbush as our next Senior Regulatory Oversight Associate in Pasadena, CA, United States.
We are currently recruiting a Senior Regulatory Oversight Associate for our team in Pasadena, CA, United States.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).