Compliance Manager
Suncap Technology
Compliance (RIA) Opportunity in Boca RatonOur 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, they are seeking a Compliance person with RIA experience looking to join their growing Boca Raton office.Concepts, practices, and procedures of securities industry complianceClient Bank Regulations governing Financial Holding CompaniesCompliance and legal procedures in the financial services industry5+ years of Compliance experience, RIA highly preferred.Lead projects, programs or processes with significant business impact involving cross-functional teams
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