Compliance Specialist, External Reps
About this role
Compliance Specialist, External Reps
Job Description
Posted Tuesday, August 11, 2026 at 12:00 AM
Summary
The Compliance Specialist – External Reps is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s), particularly with respect to internal and external registered representative supervision.
Key Accountabilities
- Performs compliance reviews in accordance with firm policy and applicable regulatory requirements. Compliance reviews may include, but are not limited to, registered representative registration and supervision, anti-money laundering monitoring, and business continuity tasks.
- May travel for off-site client office exams.
- Conducts various website and internet reviews.
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