Compliance Director, Sales & Client Engagement

What you’d do

Leads the compliance program for brokerage business activities, advising business leaders on regulatory requirements and handling exams, inquiries and complex investigations. Full time role in Malvern, PA. Found on the employer's careers page on Oct 18, 2026. Apply through the link.

You’ll need

• 8+ years related work experience
• Undergraduate degree or equivalent experience
• Series 7 license required or ability to obtain
• Series 64 license required or ability to obtain
• Compliance program and regulatory expertise