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Senior Compliance Supervisor - Securities & Advisory
Job in
Boca Raton, Palm Beach County, Florida, 33481, USA
Listed on 2026-07-31
Listing for:
Confidental
Full Time
position Listed on 2026-07-31
Job specializations:
-
Management
Regulatory Compliance Specialist
Job Description & How to Apply Below
Confidental, a South Florida dually registered broker-dealer/RIA, seeks a Compliance Supervisor to lead monitoring of retail activity and supervise advisors on-site in Boca Raton. You will implement corrective actions, ensure adherence to firm policies and industry regulations, and participate in supervision and surveillance processes to support regulatory compliance.
Responsibilities include trade and principal review for retail and advisory accounts, guiding staff on supervision matters,
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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