Compliance Manager
Suncap Technology
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.
Required Skills:
- 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
Vacancy posted 1 day ago
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