Compliance Specialist - Financial Services

Claire Myers Consulting

Boise (ID)

On-site

USD 90,000 - 120,000

Full time

14 days+

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Job summary

A leading consulting firm is seeking a Director of Supervision to lead compliance efforts within their organization. The ideal candidate will have 5-7 years of experience in financial services, with strong compliance knowledge and leadership capabilities. Key duties include supervising compliance tools, conducting audits, and training staff. This role is essential for fostering a culture of compliance and managing risk effectively.

Qualifications

5–7 years of experience in the financial services industry focusing on compliance.
In-depth understanding of industry regulations and supervisory procedures.

Responsibilities

Review and supervise compliance monitoring tools.
Conduct on-site inspections and compliance interviews.
Maintain accurate records per FINRA requirements.
Train financial professionals on compliance topics.

Skills

Strong decision-making

Critical thinking

Organizational skills

Excellent verbal communication

Excellent written communication

Education

Active FINRA Series 7, 9/10, and 63 registrations

Active Life/Health licenses

Job description

Compliance Specialist - Financial Services

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Compensation: $90,000 – $120,000 per year

A well-established financial services organization is seeking a Director of Supervision to join their leadership team. This role plays a key part in shaping a culture of compliance and managing risk across the office. The ideal candidate brings a mix of strong compliance knowledge, leadership capability, and the ability to build trusted relationships with financial professionals.

What You’ll Do:

Review and supervise various systems including flagged email and social media communications, transaction trends, and other compliance monitoring tools
Conduct on-site inspections, client file reviews, and compliance interviews
Maintain accurate books and records for field offices in accordance with FINRA requirements
Provide compliance and risk management guidance to financial representatives and support staff
Develop supervisory plans to address non-standard behavior or sales practice concerns
Contribute to the strategic direction of the local compliance program
Train financial professionals and staff on compliance and regulatory topics

What You’ll Need:

Active FINRA Series 7, 9/10, and 63 registrations (or Series 7, 24, 4, 53, and 63 as a substitute)
Active Life/Health licenses or ability to obtain within 3 months
5–7 years of experience in the financial services industry with a focus on compliance/supervision
In-depth understanding of industry regulations and supervisory procedures
Strong decision-making, critical thinking, and organizational skills
High attention to detail and ability to handle sensitive communications
Excellent verbal and written communication skills

What Makes You a Great Fit: