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Suncap Technology
Compliance ManagerSuncap Technology • Boca Raton, FL, US
Compliance Manager

Compliance Manager

Suncap Technology • Boca Raton, FL, US
Hace 15 horas
Tipo de contrato
  • A tiempo completo
Descripción del trabajo

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, they are 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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Compliance Manager • Boca Raton, FL, US

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