Compliance Manager

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