Senior Regulatory Specialist

3 weeks ago


St Louis, Missouri, United States Saxony Securities, Inc Full time
About the Position

We are seeking an experienced Field Compliance Supervisor to join our team at Saxony Securities, Inc. As a key member of our Compliance Department, you will be responsible for overseeing branch office supervision, monitoring account and trade activity, and supporting branch offices in upholding regulatory and firm standards.

This is a challenging and rewarding role that requires strong leadership skills, a deep understanding of financial products and regulatory requirements, and excellent communication and interpersonal skills.

Salary: $90,000 - $130,000 per year (based on experience)

Responsibilities and Requirements
  • Oversee Branch Supervision: Lead branch office supervision, leveraging electronic systems and reports to monitor account and trade activity.
  • Support Branch Offices: Provide guidance and support to branch offices in upholding regulatory and firm standards.
  • Licenses: Active Series 7, 63, and 24 licenses, held for at least 2 years (required).
  • Experience: Minimum 2 years of licensed industry experience; experience in compliance oversight, risk management, or supervision is strongly preferred.


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