Compliance Officer (Wealth Advisory) Bilingual (Spanish)

Ascendo Resources; Boca Raton (FL); On-site; USD 175,000 - 200,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

Job summary

A well-established advisory firm in South Florida is seeking a Compliance Officer to strengthen its Regulatory Compliance team. The ideal candidate will lead compliance assessments and enhance client relationships while ensuring adherence to financial regulations. This role offers a competitive salary and opportunities for professional growth.

Qualifications

• 6–8 years of experience in regulatory compliance.
• Solid understanding of financial regulations.

Responsibilities

• Lead compliance assessments and operational reviews.
• Analyze Anti-Money Laundering programs.
• Maintain client relationships and support business development.

Skills

Analytical Skills

Communication

Spanish

Education

Bachelor’s degree

Tools

Microsoft Excel

Job description

Compliance Officer (Wealth Advisory) Bilingual (Spanish)

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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

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Inferred from the description for this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

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