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Regulatory Compliance Specialist

Senior AVP Compliance — BD & RIA Risk & Policy Lead

Job in Phoenix, Maricopa County, Arizona, 85003, USA
Listing for: Cambridge Investment Research
Full Time position
Listed on 2026-02-01
Job specializations:
  • Management
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 150000 - 190000 USD Yearly USD 150000.00 190000.00 YEAR
Job Description & How to Apply Below
A leading investment firm is seeking an Assistant Vice President, Compliance to enhance their compliance program. This role involves assessing regulatory risks, providing compliance leadership across functions, and advising on regulatory developments. The ideal candidate has over 10 years of experience in compliance roles and at least 5 in senior management. Competitive salary between $150,000 and $190,000, along with a hybrid work model based in Phoenix, Arizona or Fairfield, Iowa.
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Position Requirements
10+ Years work experience
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