About this opportunity
StoneX Group lists this Senior Compliance Lead for Investment Advisory opportunity in birmingham, Alabama. Review the employer’s description below for duties, qualifications and application requirements.
Job description
A financial services firm located in Birmingham, Alabama is seeking a Senior Compliance Officer for its Investment Advisor Services. This role supports the retail business lines and is responsible for compliance guidance, regulatory filings, and reviewing marketing materials. Candidates must possess a Bachelor's degree, strong analytical and problem-solving skills, and COMPLIANCE certifications such as FINRA Series 7, 65 or 66. The position demands expertise in MS Excel and a solid understanding of investment advisory operations. This opportunity fosters professional growth in compliance and regulatory tasks.
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Worksite address
birmingham, AL, 35275, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.