Senior Regulatory Compliance Officer: AML & Audits
Listed on 2026-10-17
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Financial Crime
Concorde Holdings, Inc. in Boca Raton, FL seeks a Compliance Officer to support broker-dealer and RIA regulatory programs, reporting to the CCO and Director of Compliance. This role ensures adherence to FINRA, SEC, and state requirements while fostering a strong compliance culture.
The candidate will lead AML oversight, coordinate regulatory inquiries, and contribute to policy development and staff training. Five plus years in financial services plus appropriate licenses are required.
We are looking to fill the Senior Regulatory Compliance Officer: AML & Audits position at Alts Wire in Boca Raton, FL, United States.
As a Senior Regulatory Compliance Officer: AML & Audits, you will play an important part at Alts Wire in Boca Raton, FL, United States.
We invite applications for the Senior Regulatory Compliance Officer: AML & Audits position located in Boca Raton, FL, United States.
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