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Lead Broker/Dealer Compliance – Hybrid; NY/FL
Job in
Boca Raton, Palm Beach County, Florida, 33481, USA
Listed on 2026-07-29
Listing for:
Mutual of America Financial Group
Full Time
position Listed on 2026-07-29
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
Mutual of America Financial Group is seeking a Lead, Compliance for broker/dealer operations in a hybrid role in Boca Raton, FL (and New York, NY). You will assist the VP Head of Broker/Dealer Compliance in managing the program and collaborating with management of the broker/dealer.
The role requires FINRA/SEC rule knowledge, Series 6 and 26 or ability to obtain, and 3–5 years of related experience, with strong communication and organizational skills.
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