Compliance Officer

On site in Birmingham, AL | 90-125K Base Salary | Permanent Placement

Location: Birmingham preferred; remote acceptable unless Lance specifies otherwise.

Experience

Target 3–7 years, flexible.

Requirements:

• Previous compliance experience at an RIA

or

broker-dealer.

• Familiarity with SEC, state securities, or FINRA regulatory requirements, as applicable.
• Experience maintaining compliance policies, conducting reviews, and handling regulatory filings.
• Ability to work across multiple regulated entities.