Job Description:
Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our team has an immediate need for a Manager, Compliance Product Management who will be responsible for leading the strategy, development, and integration of Regulation Technology (RegTech) solutions at a leading financial services firm regulated by the SEC and FINRA. This role will partner closely with Compliance, Legal, Engineering, and Operations teams to ensure that our systems effectively support regulatory obligations and internal risk management frameworks.

Experience and Skills:

• Bachelor’s Degree from an accredited university, or equivalent work experience required
• Minimum 8+ years of relevant and managerial experience at a broker-dealer, trading desk, asset manager, or investment bank
• Advanced skills in MS Office
• Proven experience working with SEC, FINRA or other similar regulatory frameworks
• General understanding of financial products (e.g., equities, fixed income, derivatives) and broker-dealer operations required
• Experience integrating third-party compliance systems (e.g., surveillance systems, communication systems, transaction monitoring system) required
• Solid technical aptitude with the ability to work effectively with engineering teams and understand APIs, data pipelines, and enterprise architecture
• Ability to demonstrate exceptional organizational, time management, and project management abilities
• Strategic thinker with creative and effective problem-solving skills
• Excellent communication and stakeholder management skills
• Experience with Agile or Scrum methodologies
• Familiarity with compliance analytics or AI/ML-driven compliance monitoring preferred
• Hands-on experience managing regulatory response efforts or audits preferred
• MBA or related certification (e.g., CRCM, CAMS) is a plu

• Own the full product lifecycle for compliance applications, including requirements gathering, roadmap planning, prioritization, and delivery
• Ensure product capabilities align with SEC and FINRA regulations related to recordkeeping, surveillance, insider trading, employee trading, and disclosures
• Serve as the key liaison between Compliance, Legal, Engineering, and vendors to gather feedback and convert business needs into technical requirements
• Drive integration of third-party compliance tools (e.g. surveillance, e-communications monitoring, and case management) into internal platforms
• Collaborate with data teams to maintain accurate, auditable compliance data that supports internal reporting and regulatory investigations
• Lead agile ceremonies, manage sprint backlogs, track progress, and deliver high-quality, timely solutions
• Evaluate, onboard, and manage vendors providing compliance-related technologies and services
• Support internal audits and risk assessments through clear documentation, transparent workflows, and process improvements
• Perform other tasks and duties as required and assigned

Experience and Skills:

• Bachelor’s Degree from an accredited university, or equivalent work experience required
• Minimum 8+ years of relevant and managerial experience at a broker-dealer, trading desk, asset manager, or investment bank
• Advanced skills in MS Office
• Proven experience working with SEC, FINRA or other similar regulatory frameworks
• General understanding of financial products (e.g., equities, fixed income, derivatives) and broker-dealer operations required
• Experience integrating third-party compliance systems (e.g., surveillance systems, communication systems, transaction monitoring system) required
• Solid technical aptitude with the ability to work effectively with engineering teams and understand APIs, data pipelines, and enterprise architecture
• Ability to demonstrate exceptional organizational, time management, and project management abilities
• Strategic thinker with creative and effective problem-solving skills
• Excellent communication and stakeholder management skills
• Experience with Agile or Scrum methodologies
• Familiarity with compliance analytics or AI/ML-driven compliance monitoring preferred
• Hands-on experience managing regulatory response efforts or audits preferred
• MBA or related certification (e.g., CRCM, CAMS) is a plus

Job Benefits:

As part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.

• Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• Pre-Tax Commuter Benefits
• 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $126,000 to $166,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague’s and the firm’s performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.
Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview
This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.
From: Wedbush Securitie