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 (e.g., CAMS, CRCM)
Availability for occasional overtime and travel
No licenses required