MWA Financial Services, Inc. is seeking a Compliance Principal in Rock Island, IL to partner with registered representatives and internal teams on regulatory obligations.
You will review communications, monitor trading activities, and help improve surveillance programs to safeguard the firm’s growth. The role requires a bachelor’s degree and 3+ years in investment products/back office, with the aim to complete FINRA exams within a year.
#J-18808-LjbffrHybrid Compliance Principal — Risk & Growth Partner in rock island at Unknown Company
This position is listed as full time and onsite.