Compliance Officer

AltsWire; Boca Raton (FL); Hybrid; USD 60,000 - 90,000; Full time

Benefits offered by this job

401(k)

401(k) matching

Dental insurance

Flexible schedule

FSA

Health insurance

HSA

Life insurance

Paid time off

Professional development assistance

Vision insurance

Job summary

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.

Qualifications

• Strong working knowledge of FINRA, SEC, and state securities laws and regulations.
• 5+ years in financial services, preferably in compliance.
• Licensing: Series 7, 63, 65 or Series 66 and Series 24.

Responsibilities

• Monitor and interpret applicable laws and regulations for broker-dealer and RIA operations.
• Assist in regulatory inquiries, audits, and examinations.
• Oversee AML supervisory duties and annual AML audit.
• Oversee OSJ branch inspection process.
• Support broker-dealer and RIA compliance reviews.
• Develop and deliver compliance training programs.

Skills

FINRA/SEC knowledge

Regulatory research

Policy development

Training delivery

Analytical thinking

Education

Bachelor’s degree in business or related field

Tools

Compliance software

Job description

» » Compliance Officer**Job Title:** Compliance Officer**Job Location:** Boca Raton, FL**Job Description:**Concorde Holdings, Inc. is an innovative and rapidly expanding financial services firm specializing in broker-dealer, registered investment advisor (RIA), and insurance agency solutions. We pride ourselves on delivering exceptional investment, advisory, and insurance services to both financial professionals and clients. As we continue to scale, we are looking for a detailed and hands-on **Compliance Officer**.**Overview**The Compliance Officer supports the firm’s compliance program for broker-dealer and registered investment adviser (RIA) operations. This role works closely with the Chief Compliance Officer (CCO) and Director of Compliance to ensure adherence to applicable federal, state, and self-regulatory organization rules and regulations. The ideal candidate is proactive, detail-oriented, and capable of managing multiple priorities in a dynamic regulatory environment.**Key Responsibilities*** Monitor, interpret, and stay current on all applicable laws, rules, and regulations impacting broker-dealer and RIA operations, including FINRA, SEC, and state requirements.* Assist in managing and preparing documentation for regulatory inquiries, audits, and examinations.* Perform anti-money laundering (AML) supervisory duties, including oversight of the annual independent AML audit.* Oversee the annual independent OSJ branch inspection process.* Assist with the annual broker-dealer review and the annual RIA compliance review.* Support the development, implementation, and ongoing enhancement of compliance policies and procedures to ensure regulatory alignment.* Develop and deliver compliance training programs to promote firm-wide awareness and understanding of regulatory obligations.* Contribute to the preparation of compliance reports and presentations for senior management and the board of directors.* Assist the CCO and Director of Compliance with internal investigations, regulatory research, and ad hoc compliance projects.* Support compliance program administration, including employee compliance monitoring and reporting.**Qualifications & Requirements*** Strong working knowledge of FINRA, SEC, and state securities laws and regulations.* Minimum of 5 years of experience in the financial services industry, preferably in a compliance role.* Required licenses: Series 7, Series 63, and Series 65 **or** Series 66 and Series 24.* Bachelor’s degree in a business-related field or equivalent professional experience.* Knowledge of alternative investments is a plus, but not required.**Skills & Competencies*** Self-starter with the ability to take initiative and work independently.* Strong organizational skills with the ability to manage competing priorities and deadlines.* Highly analytical with excellent research and problem-solving abilities.* Detail-oriented, process-driven, and highly organized with strong critical-thinking skills.* Strong technical aptitude and comfort working with compliance systems and reporting tools.* Ability to collaborate effectively across departments while also functioning autonomously.* Flexible and adaptable, with the ability to pivot in response to changing regulatory or business needs.**Job Type:** Full-time**Pay:** $60,000.00 – $90,000.00 per year**Benefits:*** 401(k)* 401(k) matching* Dental insurance* Flexible schedule* Flexible spending account* Health insurance* Health savings account* Life insurance* Paid time off* Professional development assistance* Vision insurance**Application Question(s):****Work Location:** In person**Application Instructions:**