Senior Manager, Compliance & Registration
Job in
Southlake, Tarrant County, Texas, 76092, USA
Listed on 2026-01-04
Listing for:
Charles Schwab Corporation
Full Time
position Listed on 2026-01-04
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services
Job Description & How to Apply Below
A financial services company in Southlake, Texas, is seeking an experienced Compliance Professional to enhance the Employee Compliance Program. This role focuses on registration and regulatory requirements, requiring strong knowledge of FINRA rules. Candidates should possess 5-10 years of experience in the financial industry, and excellent communication skills. Responsibilities include monitoring compliance activities and providing guidance to employees on relevant policies and processes.
This position offers an impactful opportunity to shape compliance strategies and ensure adherence to regulations.
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Position Requirements
10+ Years
work experience
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