Senior Regional Compliance Associate

Jobtailor; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Jobtailor seeks an experienced compliance leader to serve as the regional compliance resource in the United States. The role partners with business leadership on supervisory matters and steers reviews of trade blotters, marketing materials, and attestations.

You will review outside business activities and advise on gifts and entertainment for registered personnel, while guiding regional advisors on compliance matters and coaching initiatives with the RIA Managing Directors.

Qualifications

• 5+ years of financial services experience in a compliance or supervisory role.
• Experience conducting principal-level or OSJ supervisory review.
• Active Series 66 and Series 24 in good standing.
• Comprehensive knowledge of FINRA and SEC rules and regulations.
• High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters.
• Bachelor's degree or higher.
• Some regional travel is required (~30%).
• Working hours may vary depending on the region supported.

Responsibilities

• Serve as the primary compliance resource for the assigned region.
• Support advisors and partner with business leadership on supervisory matters.
• Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations.
• Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel.
• Provide guidance, training, and direction on compliance-related matters to regional advisors.
• Investigate, document, and help resolve client complaints with the broader Compliance team.
• Support regulatory examinations, internal audits, and ongoing Compliance initiatives.
• Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging.
• Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards.

Skills

Compliance Review

Supervisory Reporting

Trade Blotter Review

Client Complaint Investigation

Regulatory Examination Support

Education

Bachelor's degree or higher

Series 66 Certification

Series 24 Certification

Job description

• Serve as the primary compliance resource for the assigned region
• Support advisors and partner with business leadership on supervisory matters
• Conduct regular reviews of trade blotters, correspondence, marketing materials, and attestations
• Review and approve outside business activities, brokerage accounts, gifts, and entertainment for registered personnel
• Provide guidance, training, and direction on compliance-related matters to regional advisors
• Investigate, document, and help resolve client complaints with the broader Compliance team
• Support regulatory examinations, internal audits, and ongoing Compliance initiatives
• Produce regular supervisory reports and close the feedback loop with advisors on activity, productivity, and logging
• Partner with RIA Managing Directors on advisor coaching opportunities tied to compliance standards

Requirements

• 5+ years of financial services experience in a compliance or supervisory role
• Demonstrated experience conducting principal-level or OSJ supervisory review
• Active Series 66 and Series 24 in good standing
• Comprehensive knowledge of FINRA and SEC rules and regulations
• High attention to detail, sound judgment, and integrity when handling sensitive or escalated matters
• Bachelor's degree or higher
• Some regional travel is required (~30%)
• Working hours may vary depending on the region supported

Core Competencies

Demonstrates extensive knowledge of compliance regulations, including FINRA and SEC rules, while providing guidance and training to advisors. Capable of conducting supervisory reviews and managing compliance-related matters with high attention to detail and integrity.

Highest-signal resume keywords

• 5+ Years Financial Services Experience
• Active Series 66 Certification
• Active Series 24 Certification
• Principal-Level Supervisory Review
• Compliance Training and Guidance

ATS Optimization Keywords

Hard Skills

• Compliance Review
• Supervisory Reporting
• Trade Blotter Review
• Client Complaint Investigation
• Regulatory Examination Support

Soft Skills

• Attention to Detail
• Sound Judgment
• Integrity

Certifications & Qualifications

• Series 66
• Series 24

Industry Keywords

• FINRA Regulations
• SEC Regulations
• Compliance Standards
• Financial Services Compliance
• OSJ Supervisory Review