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Senior Compliance Lead: Registration & FINRA; Hybrid
Job in
Southlake, Tarrant County, Texas, 76092, USA
Listed on 2026-01-04
Listing for:
Charles Schwab
Full Time
position Listed on 2026-01-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
A leading financial services firm in Southlake is seeking a seasoned Compliance Professional to monitor and guide Employee Compliance activities. This role requires extensive knowledge of regulatory requirements, strong communication skills, and 5-10 years of experience within the financial sector. The ideal candidate will collaborate with various partners, address deficiencies, and ensure adherence to regulations. The firm promotes professional growth and offers a competitive benefits package, including a 401(k) plan, paid time off, and health insurance.
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Position Requirements
10+ Years
work experience
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