More jobs:
Compliance Manager, Finance & Banking
Job in
Boca Raton, Palm Beach County, Florida, 33431, USA
Listed on 2026-07-01
Listing for:
Suncap Technology
Full Time
position Listed on 2026-07-01
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Services, Risk Manager/Analyst, Financial Compliance
Job Description & How to Apply Below
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
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