NextStep Recruiting has partnered with a financial services and capital markets organization in downtown Dallas, TX to hire a Compliance Specialist for a direct hire, onsite role. This position sits within a well-established Compliance team and was opened due to a recent resignation, creating an immediate need for a senior-level individual contributor who can step in quickly and provide stability and expertise.

This role is 100% onsite at the firm’s Dallas headquarters. The Compliance Specialist will support day-to-day regulatory and registration-related activities and work closely with internal stakeholders and regulators.

Required:

• Direct experience supporting broker/dealer registration and licensing, including interaction with the SEC, FINRA, and state regulators
• Strong understanding of securities compliance processes within a broker/dealer environment
• Ability to manage regulatory documentation, disclosures, and record retention requirements
• Close attention to detail with strong written and verbal communication skills
• Ability to work independently and manage multiple priorities in an on-site setting

Preferred:

• Background working in compliance, registration, or regulatory operations with broker/dealer experience
• Experience processing or supporting FINRA registrations (U4, U5 exposure is a plus)
• Experience coordinating regulatory exams, audits, or internal inspections
• Strong Excel and general MS Office skills
• Experience supporting compliance training or written supervisory procedures

This role offers the opportunity to join a collaborative compliance team, gain exposure to a broad range of regulatory activities, and play a key role in supporting the firm’s broker/dealer operations.

NextStep Recruiting provides equal employment opportunities (EEO) to all employees and applicants regardless of race, color, or applicable state and local laws governing nondiscrimination in employment in every location where the company has facilities.