Director of Regulatory Compliance — FINRA/SEC Expert
moomoo
Texas · $190k–$230k a year · Posted November 6, 2026
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How AI is used in this kind of work
AI use among managers, all other is little observed so far. Measured exposure for managers, all other: 7% (little observed).
Share of this job’s tasks that AI is already used for at work, from real usage. It is not a forecast of job loss, and a low number means no use seen yet. Source: Anthropic Economic Index.
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About the job
...The Director of Compliance will play a critical leadership role within the Compliance Department and will be responsible for managing regulatory examinations, inquiries, and investigations involving FINRA, the SEC, state securities regulators, and other regulatory agencies...