Mid Level Compliance Specialist Jobs
Mid level compliance specialist jobs go to professionals ready to own regulatory projects end to end, guide junior staff, and make judgment calls with limited oversight. Openings are distributed across on-site, hybrid, and remote settings in Healthcare & Medical Services, Consulting & Professional Services, and Technology & Software, with employers like Kimley-Horn, Amazon, and First Student hiring at this level now.
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Showing 5 of 55+ Mid Level Compliance Specialist jobs
Compliance Specialist / Operations Manager
Location: Miami, FL
Job Type: Full-Time | Onsite
Job Summary
We are seeking experienced Compliance and Operations Professionals to support a financial services firm specializing in investment and brokerage services. These roles are responsible for ensuring regulatory compliance, overseeing broker-dealer operations, managing risks, and improving business processes in a highly regulated environment.
Key Responsibilities
- Ensure compliance with FINRA, AML, KYC, and other applicable regulations.
- Develop and maintain compliance policies, procedures, and Written Supervisory Procedures (WSPs).
- Conduct internal audits, monitor transactions, and support regulatory examinations.
- Oversee daily broker-dealer operations, including client onboarding, account maintenance, and securities transactions.
- Manage relationships with clearing firms, custodians, banking partners, and vendors.
- Maintain accurate regulatory records and prepare operational and compliance reports.
- Identify operational risks, implement controls, and improve business processes.
- Collaborate with Compliance, Finance, and Front Office teams.
- Provide compliance guidance and training to employees.
Qualifications
- Bachelor's degree in Finance, Business, Accounting, Law, or a related field.
- 5+ years of relevant experience in broker-dealer operations or regulatory compliance.
- Strong knowledge of FINRA regulations, securities operations, AML, and KYC requirements.
- Experience with audits, regulatory examinations, risk management, and operational controls.
- Strong analytical, organizational, and communication skills.
- Fluency in English and Spanish preferred.
- FINRA licenses such as SIE, Series 7, Series 24, or Series 99 preferred, depending on the role, or willingness to obtain required licenses.
Benefits
- Competitive compensation
- Health, vision, and life insurance
- Short- and long-term disability insurance
- 401(k) with company matching
Compliance Specialist / Operations Manager
Location: Miami, FL
Job Type: Full-Time | Onsite
Job Summary
We are seeking experienced Compliance and Operations Professionals to support a financial services firm specializing in investment and brokerage services. These roles are responsible for ensuring regulatory compliance, overseeing broker-dealer operations, managing risks, and improving business processes in a highly regulated environment.
Key Responsibilities
- Ensure compliance with FINRA, AML, KYC, and other applicable regulations.
- Develop and maintain compliance policies, procedures, and Written Supervisory Procedures (WSPs).
- Conduct internal audits, monitor transactions, and support regulatory examinations.
- Oversee daily broker-dealer operations, including client onboarding, account maintenance, and securities transactions.
- Manage relationships with clearing firms, custodians, banking partners, and vendors.
- Maintain accurate regulatory records and prepare operational and compliance reports.
- Identify operational risks, implement controls, and improve business processes.
- Collaborate with Compliance, Finance, and Front Office teams.
- Provide compliance guidance and training to employees.
Qualifications
- Bachelor's degree in Finance, Business, Accounting, Law, or a related field.
- 5+ years of relevant experience in broker-dealer operations or regulatory compliance.
- Strong knowledge of FINRA regulations, securities operations, AML, and KYC requirements.
- Experience with audits, regulatory examinations, risk management, and operational controls.
- Strong analytical, organizational, and communication skills.
- Fluency in English and Spanish preferred.
- FINRA licenses such as SIE, Series 7, Series 24, or Series 99 preferred, depending on the role, or willingness to obtain required licenses.
Benefits
- Competitive compensation
- Health, vision, and life insurance
- Short- and long-term disability insurance
- 401(k) with company matching
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Who's Hiring
Top Industries Hiring
- Healthcare & Medical Services10
- Consulting & Professional Services8
- Technology & Software5
- Education4
- Insurance3
Mid Level Compliance Specialist Jobs: Frequently Asked Questions
How do I get a mid level compliance specialist job?
Position yourself by leading with ownership: highlight specific regulations you have interpreted, audits you have run independently, and any remediation plans you have seen through to completion. Tailor your resume to the industry's regulatory environment, whether that is financial services, healthcare, or manufacturing. Certifications like CCEP or CRCM signal seriousness, and concrete outcomes, such as reduced audit findings, give hiring managers a clear reason to move forward.
Which companies hire mid level compliance specialists?
Companies hiring mid level compliance specialists right now include Kimley-Horn, Amazon, and First Student, based on current listings on Migrate Mate as of September 2026. Hiring at this level covers large regulated corporations, financial institutions, healthcare systems, and government contractors that need professionals who can run compliance programs with real independence.
Are there remote mid level compliance specialist jobs?
Yes, though availability varies by industry and employer. About 40% of mid level compliance specialist openings are remote or hybrid as of September 2026, reflecting how much compliance review and documentation work can be done off-site. Roles that involve regular audits, facility inspections, or sensitive data handling are more likely to require on-site presence at least part of the time.
How do I move up to a mid level compliance specialist role?
Growing from entry level into a mid level compliance specialist role takes deliberate skill-building over several years. Focus on developing deep familiarity with specific regulatory frameworks, taking on audit coordination without being prompted, and documenting measurable outcomes such as reduced violations or faster remediation cycles. Seeking out cross-functional projects, earning a relevant certification, and demonstrating that you can advise colleagues rather than just follow procedures signals readiness for mid level responsibility.
Which industries hire the most mid level compliance specialists?
Mid Level compliance specialist roles concentrate in Healthcare & Medical Services, Consulting & Professional Services, and Technology & Software, based on current listings on Migrate Mate as of September 2026. These sectors carry heavy regulatory obligations, frequent audits, and ongoing reporting requirements that demand experienced specialists who can manage compliance programs independently rather than just assist with them.