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Hybrid Compliance Principal — Risk & Growth Partner
Job in
Rock Island, Rock Island County, Illinois, 61202, USA
Listed on 2026-08-08
Listing for:
Home Office Careers
Full Time
position Listed on 2026-08-08
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
MWA Financial Services, Inc. is seeking a Compliance Principal in Rock Island, IL to partner with registered representatives and internal teams on regulatory obligations.
You will review communications, monitor trading activities, and help improve surveillance programs to safeguard the firm’s growth. The role requires a bachelor’s degree and 3+ years in investment products/back office, with the aim to complete FINRA exams within a year.
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