Senior Regulatory Compliance Officer: AML & Audits

AltsWire; Boca Raton (FL); Hybride; USD 60 000 - 90 000; Plein temps

Avantages offerts par ce poste

401(k)

401(k) matching

Dental insurance

Flexible schedule

FSA

Health insurance

HSA

Life insurance

Paid time off

Professional development assistance

Vision insurance

Résumé du poste

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.

Responsabilités

• 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.

Connaissances

FINRA/SEC knowledge

Regulatory research

Policy development

Training delivery

Analytical thinking

Formation

Bachelor’s degree in business or related field

Outils

Compliance software

Description du poste

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.