Senior Compliance Specialist

A financial services enterprise that owns and operates a network of industry-leading firms that empower independent financial advisors is seeking a Senior Compliance Specialist to support and strengthen the firm's compliance program within a Broker-Dealer environment. This individual will help ensure adherence to Client and SEC regulations, maintain compliance policies and procedures, support regulatory examinations, and assist with firm-wide compliance initiatives. Responsibilities
Maintain and update compliance manuals, policies, and supervisory procedures
Support compliance testing, monitoring, branch inspections, and internal audits
Research and communicate regulatory updates and industry changes
Assist with compliance training and promote a strong compliance culture
Track corrective actions and support resolution of compliance issues
Partner with internal teams on compliance projects and regulatory initiatives
Develop and enhance compliance controls and monitoring processes
Qualifications
5 10+ years of compliance experience within Financial Services or an Independent Broker/Dealer environment
Strong knowledge of Client and SEC regulations, including correspondent clearing and custody relationships
Excellent communication, analytical, and organizational skills
Ability to manage multiple priorities in a fast-paced environment
Bachelor's degree preferred in Finance, Business, or related field
Required Licenses
SIE
Series 7 (8+ years required)
Series 63 or 66
Series 24 (8+ years required)