Compliance Officer; Wealth Advisory Bilingual; Spanish

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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)

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

• Mid-Senior level

• Full-time

• Finance

• Banking, Investment Management, and Investment Advice

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Medical insurance

Vision insurance

401(k)

Paid maternity leave

Paid paternity leave

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