Compliance Manager - Suncap Technology, Inc.
Boca Raton, FL 33431
About the Job
Compliance (RIA) opportunity in Boca Raton
Our client is a small investment advisory firm based out of Boca Raton, FL, with three offices. With a team of nine dedicated professionals, four of whom specialize in investment advisory services and provide comprehensive financial guidance to their clients is seeking a Compliance person with RIA experience looking to join their growing Boca Raton office.
- Concepts, practices, and procedures of securities industry compliance
- Client Bank Regulations governing Financial Holding Companies
- Compliance and legal procedures in the financial services industry
- 5+ years of Compliance experience, RIA highly preferred.
- Lead projects, programs or processes with significant business impact involving cross-functional teams
Source : Suncap Technology, Inc.