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)
- Foreign Corrupt Practices Act (FCPA)
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 (eg, CAMS, CRCM)
- Availability for occasional overtime and travel
No licenses required