Overview:

Join our team at an established RIA/Broker Dealer with over three decades of experience, with $85 million in Assets Under Management (AUM). Split between $27 million on the RIA side and $58 million on the Broker Dealer side, our owner is seeking a Compliance Officer to replace the current third-party compliance officer.

We're seeking candidates with a minimum of 5 to 7 years of compliance officer experience.

Based in Wellington, Florida, the position offers a hybrid work arrangement with flexible hours, requiring initial on-site presence.

The ideal candidate will assist in establishing necessary paperwork and procedures in-house for a few months. Immediate availability is preferred, with potential benefits, bonus plans, and revenue-sharing opportunities available.

Responsibilities:

• Organize, document, and maintain regulatory & registration files.
• Assist in Operations, client reports and presentations.
• Take the initiative to optimize processes to improve efficiency.
• Assist with various ad hoc projects as needed.

Qualifications:

• 3 years of Compliance and support experience in the Financial Services preferred (Wealth Management, Brokerage, and or Advisory Services)
• Proactive, with ability to work in a fast-paced environment.
• Bachelor’s or associate degree preferred.
• Strong written, verbal, and interpersonal skills.
• Excellent time-management, organizational, problem-solving, and prioritization skills.
• Strong knowledge of Excell & Microsoft Office products with strong technical skills.
• Positive, collaborative, and team oriented.
• Experience working with performance reporting software, CRM databases, and document management software a plus.
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Job Type: Full-time

Pay: $50,000.00 - $75,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday
• No weekends

Experience:

• Compliance management: 5 years (Required)

Ability to Commute:

• Wellington, FL (Required)

Ability to Relocate:

• Wellington, FL: Relocate before starting work (Required)

Work Location: In person