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Regulatory Compliance Specialist

Regional Compliance Investigator & Audit Lead

Job in Secaucus, Hudson County, New Jersey, 07094, USA
Listing for: Equitable
Full Time position
Listed on 2026-01-01
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 85000 - 90000 USD Yearly USD 85000.00 90000.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a Senior Compliance Manager to provide compliance support to branch locations. Responsibilities include conducting inspections, evaluating compliance, and advising Advisors on policies. The ideal candidate will possess FINRA Series 7 and 24 registrations, along with 5-10 years of experience in the financial services industry. This full-time position offers a competitive salary range of $85,000 – $90,000 and includes benefits such as medical, dental, and 401(k) plans.
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