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Compliance Manager

Suncap Technology

Boca Raton, FL
Compliance (RIA) Opportunity In Boca Raton

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
Apply
Vacancy posted 1 day ago
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