Job Description
Job Description
Compliance Manager
Location: Palm Beach Gardens, FL
Reports to: Assistant Chief Compliance Officer
Employment Type: Full-time
Summary:
As a senior member of the Compliance Department, the Compliance Manager helps mitigate risk and ensures the firm meets regulatory obligations. This individual will lead a compliance team, manage regulatory requests and exams, and work cross-functionally to maintain strong adherence to industry rules and internal policy.
Key Responsibilities:
-
Manage responses to State, FINRA, and SEC examinations and inquiries
-
Review client complaints and ensure compliance with FINRA Rule 4530
-
Develop and analyze compliance reports to identify risks and trends
-
Update and maintain compliance policies and procedures
-
Partner with operations, technology, and business teams to ensure regulatory compliance
-
Serve as a compliance resource across the firm and represent the department on cross-functional committees
-
Identify departmental risks and contribute to strategic planning
-
Oversee business case initiatives and compliance-related technology requests
Supervisory Responsibilities:
-
Supervise a team of compliance professionals
-
Provide training, performance reviews, and goal setting
-
Recommend staffing adjustments when needed
Requirements:
-
5+ years of experience in financial services, preferably in a Broker-Dealer or RIA setting
-
Strong understanding of Broker/Dealer and Investment Adviser regulations
-
Series 7, 63, and 24 licenses required
-
Excellent communication, problem-solving, and organizational skills
-
Ability to analyze data and identify risk patterns
-
Proficient in Microsoft Office; able to learn internal platforms
-
Ability to travel on short notice (up to one week)
Preferred Attributes:
-
Experience with regulatory inquiries, complaints, or investigations
-
Strong team leadership and mentorship capabilities
-
Professional and empathetic communication style
-
Strategic mindset with the ability to manage high-volume or complex projects
Benefits:
-
Company-paid medical plan for employee and family
-
Company-paid long-term disability (LTD) insurance
-
Company-paid life insurance (3x annual salary)
-
4 weeks paid time off (PTO)
-
Employee-paid optional dental coverage
-
Employee-paid optional short-term disability (STD) insurance
Job Type: Full-time
Pay: $70,000.00 - $80,000.00 per year
Benefits:
-
Dental insurance
-
Health insurance
-
Life insurance
-
Paid time off
-
Vision insurance
License/Certification:
-
Series 24 (Required)
Ability to Commute:
-
Palm Beach Gardens, FL 33418 (Required)
Ability to Relocate:
-
Palm Beach Gardens, FL 33418: Relocate before starting work (Required)
Work Location: In person