If you searched Superstar Sourcing for Senior Regulatory Compliance Professional (with 3 additional requirements) on January 3, 2026 you'd find 464 great candidates

V**** S***

Director @ Credit Suisse | Ex-Regulator | Risk Management Expert

This candidate presents an excellent match with direct, senior experience as a Principal Examiner for Member Supervision at FINRA, alongside strong fraud investigation credentials (CFE) across major financial institutions. Dir at Credit Suisse/Forvis Mazars → FINRA Principal Examiner (Member Supervision) → MUFG/MS/UBS roles, 16+ years experience. Excellent.

J**** D****

This candidate has extensive high-level compliance leadership roles, including CCO positions and a past role as a Senior Compliance Examiner at FINRA, meeting compliance, regulatory tenure, and financial services criteria, although Member Supervision/Arbitration details aren't explicit in the listed roles. FINRA → JPMorgan Chase → Aon → JLL. Excellent.

M**** B****

Internal Securities Investigations and Regulatory Compliance

This candidate has substantial experience aligning closely with internal investigations, regulatory response, and compliance oversight within large financial institutions. Head of regulatory employee conduct investigations at UBS → Head of Compliance Investigations at Credit Suisse, 30 years experience in securities/compliance. Excellent.

D*** V** K****

Senior Compliance Professional/Business Consultant

This candidate is an excellent fit, having served as CCO for a broker-dealer where they were responsible for supervision, compliance department direction, and fraud/AML investigations within the financial services industry for over 20 years. Feltl and Company (CCO) → U.S. Bancorp → Questar Capital. Excellent.

L**** A****

Retired, formerly VP, CAMS,Manager, Process, Control and Oversight, at Barclays

Near perfect fit, explicitly mentioning securities arbitration/mediation and comprehensive compliance/investigation work within financial services over many decades. Retired, which lowers score slightly. Ex-Barclays Compliance → FINRA Arbitrator. Excellent.

S*** D****

Compliance Officer at Aegis Capital

Excellent direct match with extensive experience as a FINRA Principal Examiner covering Member Supervision, Arbitration Filings, and Fraud Examination, easily meeting the 10+ year regulatory benchmark. FINRA examiner role for 12+ years. Excellent.

J** E****

Head of Retail Branch and Supervision Compliance at Charles Schwab

This candidate is an excellent match, currently leading Supervision Compliance at a major firm and possessing extensive industry tenure. Head of Supervision Compliance at Schwab → Risk Director at TD Ameritrade → Compliance Director at Fidelity. Excellent.

J**** S****

Chief Compliance Officer | AML & Regulatory Expert | Broker-Dealer & RIA Compliance Leadership

This candidate is an excellent fit, listing CCO experience covering supervision, AML (related to fraud examination), and principal liaison with regulators, suggesting deep involvement in compliance oversight. Goldman Sachs → ETC Brokerage Services. Excellent.

M**** G****

Associate Director, Compliance Audit

This candidate has direct, recent experience in arbitration investigations, fraud investigations, and is currently in a compliance audit role within regulated industries (although AbbVie is Pharma, PwC forensic work covered FS), meeting the specialty requirements strongly. PwC Forensic Services (arbitration, fraud/corruption investigations) → AbbVie Compliance Audit, 14 yrs exp. Excellent.

Y**** G****

Compliance Manager at Capital One

Excellent experience in AML compliance management, including supervising investigations, which is highly relevant to fraud and supervision. Compliance Manager at Capital One overseeing AML teams and supervising complex investigations → Investigator at BoA. Excellent.

C**** D****

Senior Audit Manager-Financial Crimes | CAMS, CFE, CPA Colombia, Forensic Accountant | Authorized ACFE Trainer of the Association of Certified Fraud Examiners | Servant Leader

This candidate brings deep financial crimes auditing and fraud expertise, strongly matching multiple requirements conceptually. Senior Financial Crime Auditor/Leader who built AML programs → AML Operations Manager, CFE authorized trainer. Excellent.

C**** J****

Vice President- Compliance & Supervisory Manager

Excellent match for supervisory and fraud experience, confirmed by CFE certification and clear progression through FINRA and supervisory roles. VP - Supervisory Manager → Director, Compliance → Examiner (FINRA). Excellent.

L**** C****

Senior Director, Risk Advisory at Ankura Consulting Group | Regulatory Compliance Expert & Consumer Compliance Crusader | Making the World a More Compliant Place One Financial Services Provider at a Time

This professional looks like a strong candidate with extensive compliance background in financial services. Compliance Subject Matter Expert/Analyst at banks → Consulting roles in Risk Advisory. Ankura Consulting → Chartwell Compliance → Cenlar FSB → Meridian Bank, 22 yrs exp. Excellent.

D*** J****

Enforcement Investigator, FINRA

Excellent fit for investigations and regulatory work within financial services, including experience with supervision violations, although arbitration investigations are not specific. Enforcement Investigator, FINRA → Associate Principal Investigator, Enforcement at FINRA. Excellent.

B**** W****

Compliance, Surveillance Professional, Risk Management, Anti-Money Laundering, Control Room

This professional explicitly calls out deep expertise in fraud detection, conducting financial services related fraud investigations, and has over two decades of experience, fitting multiple key requirements perfectly. GuideStone → Fidelity. Excellent.

R**** G****

AML Compliance Executive Director at UBS

Excellent fit due to executive-level AML/FCPA compliance paired with direct enforcement investigation experience within FINRA, hitting compliance, fraud adjacencies, and significant regulatory tenure in finance. UBS (ED, AML/FCPA) → FINRA (IA, Enforcement). Yes, no, partial, yes, yes, yes.

S**** B****

Director, Risk Monitoring @ FINRA | CPA, CFE, CAMS

This candidate is currently working at FINRA managing risk monitoring, which directly addresses regulatory oversight and implies deep knowledge of member supervision areas. FINRA (Director, Risk Monitoring) → SEC (Sr. Compliance Examiner). Excellent.

B**** D****

Wells Fargo Risk Leader, Attorney, CFPB Commissioned Examiner

This candidate has substantial compliance and regulatory experience spanning over 17 years including examination work. Attorney → CFPB Examiner (6y 5m) → Wells Fargo Risk Leader (Risk/Compliance). CFPB Examiner + Legal Counsel + Compliance Officer roles cover most requirements. CFB examiner role implies deep regulatory interaction right out of law school. No specific mention of Member Supervision, Fraud examination, or Arbitration investigations in recent roles. Attorney (Law Office) → Legal Counsel (Securities Arbitration Clinic) → CFPB Examiner → Wells Fargo Compliance/Risk. Partial.

K**** C****

Senior Enforcement Officer

This candidate has extensive regulatory experience, including enforcement actions and compliance expertise relevant to securities violations. FINRA case management is close to arbitration investigations, but direct Member Supervision experience isn't explicitly listed. Ex-FinCEN → FINRA Case Manager (9 yrs) → Dept of Treasury. Strong.

F*** R****

Lead Analyst - Oversight I Supervision Division at Consumer Financial Protection Bureau

Excellent experience in regulatory supervision and examination within a major regulatory body overseeing financial compliance. Lead Analyst - Supervision (CFPB) → Field Examination Manager (CFPB) → Financial Institutions Examiner (CFPB). Strong.

S**** J****

Deputy Chief Compliance Officer

This candidate is a high-level compliance officer with direct experience addressing fraud and risk within a wealth management context, making them a strong fit despite lacking explicit arbitration/member supervision roles. Deputy CCO → AVP Risk Officer at Morgan Stanley (2 yrs), focusing on fraud and regulatory response. Strong.

C**** M****

AVP of Compliance at Wedbush Securities | Fraud & Audit Investigation | AML Program Management | Risk Assessment Solutions for Banking and Brokerage firms

This AVP explicitly lists Fraud & Audit Investigation experience and has a strong background in compliance operations at a significant brokerage firm, making them a strong potential match. Wedbush Securities → PwC. Strong.

N**** K****

Executive Director at Morgan Stanley

Excellent match on regulatory experience, fraud/forensic analysis, and high-stakes investigations within the financial sector, touching on compliance program leadership. ED at Morgan Stanley → Associate Director at Guidehouse (forensic analysis/investigations), 14 years experience. Strong.

C**** S****

SVP, Business Initiatives & Operational Effectiveness Leader

This candidate has extensive executive experience in compliance within major financial institutions, touching on risk, BSA/AML, and regulatory management, though specific mention of Member Supervision or Arbitration Investigations is missing. SVP/Director roles spanning 45 years at Wells Fargo, SouthState Bank. Strong.

M**** D****

Vice President at Northern Trust

This individual has demonstrated fraud investigation skills and significant experience working with financial regulators in a compliance context. FDIC → Northern Trust, 20 years experience. Strong.

J**** B****

Regulatory Exam Management at PNC

This professional has deep experience managing regulatory examinations across various lines of business in banking. PNC → BBVA in the USA, 23 years of regulatory focus. Strong.

S**** F****

Senior Director, Disputes and Investigations at Alvarez & Marsal

This candidate has significant compliance and regulatory investigation experience within finance. JD/MBA → SEC intern → Credit Suisse Surveillance/Compliance → Alvarez & Marsal Disputes/Investigations, nearly 15 years experience. Strong.

K**** W****

V.P. Fraud and Operational Risk Professional. CFE, CFCS, Diversity and Inclusion volunteer.

Strong fit with extensive fraud and risk experience at major financial institutions, but missing direct Member Supervision/Arbitration investigation mentions. | Wells Fargo → Schwab → Wells Fargo. 37+ years experience in risk and compliance leadership. Strong.

J**** A****

Director, Compliance and Operational Risk Manager at Bank of America

Extensive experience in Wealth Management compliance at major firms (Merrill Lynch, Deutsche, Goldman Sachs) strongly suggesting Member Supervision and broad regulatory oversight, but explicit fraud/arbitration are not highlighted. BofA → Deutsche → Goldman Sachs (Wealth Mgmt Compliance). Strong.

E* G****

Compliance Executive, Investor & Advisor | Former Chief Compliance & Bank Secrecy Officer

This candidate is a high-level compliance executive with explicit experience in investigations detailing fraud on behalf of the SEC, fitting the fraud and regulatory aspects perfectly, and has over 20 years of experience. Specific mention of Arbitration investigations or Member Supervision is not present in the summary data. Career: CCO EarnIn → CCO Zero Hash (1y) → Various advisory/investigation roles including SEC investigations. Strong.