Talent.com
Compliance Officer (Wealth Advisory) Bilingual (Spanish)
Compliance Officer (Wealth Advisory) Bilingual (Spanish)Ascendo Resources • Boca Raton, FL, US
Compliance Officer (Wealth Advisory) Bilingual (Spanish)

Compliance Officer (Wealth Advisory) Bilingual (Spanish)

Ascendo Resources • Boca Raton, FL, US
13 hours ago
Job type
  • Full-time
Job description

Compliance Officer (Wealth Advisory) Bilingual (Spanish)

2 days ago Be among the first 25 applicants

Get AI-powered advice on this job and more exclusive features.

This range is provided by Ascendo Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$175,000.00 / yr - $200,000.00 / yr

Direct message the job poster from Ascendo Resources

A well-established advisory firm in South Florida seeks a Risk Advisory Manager to join its Regulatory Compliance team based in Boca Raton . This group specializes in supporting broker-dealers, registered investment advisors (RIAs), and asset managers with compliance related to U.S. financial regulations, including FINRA and SEC requirements.

The ideal candidate is someone who has the following experience :

  • Lead and manage compliance assessments, operational reviews, and internal control evaluations
  • Analyze and test Anti-Money Laundering (AML) programs and broader compliance frameworks to identify risks and recommend enhancements
  • Translate technical regulatory issues into practical solutions for clients
  • Maintain and grow client relationships while supporting business development initiatives
  • Travel to client engagements as needed

Key Areas of Regulatory Focus :

  • Financial Industry Regulatory Authority (FINRA)
  • Securities and Exchange Commission (SEC)
  • DOL PTE 2020-02
  • U.S. Patriot Act
  • Bank Secrecy Act (BSA)
  • Office of Foreign Assets Control (OFAC)

    • Qualifications :

  • 6–8 years of experience working with broker-dealers, investment advisors, or within a regulatory compliance setting
  • Bachelor's degree in a relevant field
  • Solid understanding of financial regulations, including the Securities Acts of 1933 and 1934 and the Investment Adviser Act of 1940
  • Strong analytical skills and fluency in Microsoft Excel
  • Excellent communication skills, both written and verbal
  • Spanish language is required

    • Preferred Attributes :

  • Compliance-related certifications (e.g., CAMS, CRCM)
  • Availability for occasional overtime and travel

    • Seniority level

  • Mid-Senior level

    • Employment type

  • Full-time

    • Job function

  • Finance

    • Industries

  • Banking, Investment Management, and Investment Advice

    • Referrals increase your chances of interviewing at Ascendo Resources by 2x

    Inferred from the description for this job

    Medical insurance

    Vision insurance

    401(k)

    Paid maternity leave

    Paid paternity leave

    Get notified when a new job is posted.

    Sign in to set job alerts for "Compliance Officer" roles.

    J-18808-Ljbffr

    Create a job alert for this search

    Bilingual Compliance • Boca Raton, FL, US