Compliance Officer (Wealth Advisory) Bilingual (Spanish)

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