- Salary
- $60k – $90k
- Location
- Boca Raton, FL
- Workplace
- Onsite
- Type
- Full-time
- Department
- Legal
- Experience
- 5+ years
- Closing date
- 2 days ago
Description
About Us
Concorde Holdings, Inc. is an innovative and rapidly expanding financial services firm specializing in broker-dealer, registered investment advisor (RIA), and insurance agency solutions. We pride ourselves on delivering exceptional investment, advisory, and insurance services to both financial professionals and clients. As we continue to scale, we are looking for a detailed and hands-on Compliance Officer.
Overview
The Compliance Officer supports the firm’s compliance program for broker-dealer and registered investment adviser (RIA) operations. This role works closely with the Chief Compliance Officer (CCO) and Director of Compliance to ensure adherence to applicable federal, state, and self-regulatory organization rules and regulations. The ideal candidate is proactive, detail-oriented, and capable of managing multiple priorities in a dynamic regulatory environment.
Key Responsibilities
Monitor, interpret, and stay current on all applicable laws, rules, and regulations impacting broker-dealer and RIA operations, including FINRA, SEC, and state requirements.
Assist in managing and preparing documentation for regulatory inquiries, audits, and examinations.
Perform anti-money laundering (AML) supervisory duties, including oversight of the annual independent AML audit.
Oversee the annual independent OSJ branch inspection process.
Assist with the annual broker-dealer review and the annual RIA compliance review.
Support the development, implementation, and ongoing enhancement of compliance policies and procedures to ensure regulatory alignment.
Develop and deliver compliance training programs to promote firm-wide awareness and understanding of regulatory obligations.
Contribute to the preparation of compliance reports and presentations for senior management and the board of directors.
Assist the CCO and Director of Compliance with internal investigations, regulatory research, and ad hoc compliance projects.
Support compliance program administration, including employee compliance monitoring and reporting.
Qualifications & Requirements
Strong working knowledge of FINRA, SEC, and state securities laws and regulations.
Minimum of 5 years of experience in the financial services industry, preferably in a compliance role.
Required licenses: Series 7, Series 63, and Series 65 or Series 66 and Series 24.
Bachelor’s degree in a business-related field or equivalent professional experience.
Knowledge of alternative investments is a plus, but not required.
Skills & Competencies
Self-starter with the ability to take initiative and work independently.
Strong organizational skills with the ability to manage competing priorities and deadlines.
Highly analytical with excellent research and problem-solving abilities.
Detail-oriented, process-driven, and highly organized with strong critical-thinking skills.
Strong technical aptitude and comfort working with compliance systems and reporting tools.
Ability to collaborate effectively across departments while also functioning autonomously.
Flexible and adaptable, with the ability to pivot in response to changing regulatory or business needs.
Job Type: Full-time
Pay: $60,000.00 - $90,000.00 per year
Benefits:
401(k)
401(k) matching
Dental insurance
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Life insurance
Paid time off
Professional development assistance
Vision insurance
Application Question(s):
Do you have at least 5 years of experience in the financial services industry (preferably in a compliance role)?
Do you currently have the following license criteria? Series 7, Series 63, and Series 65 or Series 66 and Series 24.
Work Location: In person