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Compliance Manager- (#SC)

  • On-site
    • Boca Raton, Florida, United States
  • $120,000 - $150,000 per year
  • finance

Job description

Compliance Manager-  (RIA)

Our client is a small investment advisory firm based out of Boca Raton, FL, with three offices. With a team of nine dedicated professionals, four of whom specialize in investment advisory services and provide

comprehensive financial guidance to their clients is seeking a Compliance person with RIA experience looking to join their growing Boca Raton office.

  • Concepts, practices, and procedures of securities industry compliance

  • Client Bank Regulations governing Financial Holding Companies

  • Compliance and legal procedures in the financial services industry

  • 5+ years of Compliance experience, RIA highly preferred.

  • Lead projects, programs or processes with significant business impact involving cross-functional teams

or