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Regulatory Compliance Specialist

BD Sales & Compliance Lead

Job in Rio Rancho, Sandoval County, New Mexico, 87144, USA
Listing for: Insurance Administrative Solutions, L.l.c.
Full Time position
Listed on 2025-11-27
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 80000 - 120000 USD Yearly USD 80000.00 120000.00 YEAR
Job Description & How to Apply Below
A leading financial services distribution company is looking for a Broker-Dealer Sales Supervision professional to support compliance and training within their branch offices. This role involves reviewing trades and accounts, ensuring regulatory compliance, and developing training materials. Candidates should possess the required licenses and 2 years of experience in the industry, with a strong focus on accountability and teamwork.
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