Top 17465 Compliance Jobs

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Compliance Officer
Concorde Investment Services —Boca Raton, FL
- $60,000 - $90,000 a year
- Full-time
- Management
- Research
- Office
- Health savings account
- Health insurance
Quick Apply
Director of Compliance
Precision Armament —Wellsville, NY
- $65,000 - $90,000 a year
- Full-time
- Management
- 5 years
- Engineering
- Profit sharing
- Health savings account
Quick Apply
4d
Retirement Plan Compliance Manager
Conrad Siegel —Pennsylvania
- $85,000 - $105,000 a year
- Full-time
- Remote
- 5 years
- Finance
- Bachelor's degree
- Health insurance
- 401(k)
Quick Apply
Compliance Manager
Jewish Family Service of Colorado —Denver, CO
- $65,000 - $85,000 a year
- Weekends as needed
- HIPAA
- Office
- Master's degree
- COVID-19 protective measures
- Health savings account
Quick Apply
Compliance and Controls Engineer
NAVAERA CONSULTING, LLC —Scottsdale, AZ
- $90,000 - $126,000 a year
- Full-time
- Background check
- 7 years
- Bachelor's degree
- Health insurance
- Dental insurance
Quick Apply
Regulatory Compliance Consultant
Treliant LLC —Remote
- $75 - $150 an hour
- Microsoft Excel
- Writing skills
- Mid-level
- Health insurance
- 401(k)
Quick Apply
Compliance Specialist
Yardi Systems, Inc. —Remote
- $72,000 - $76,500 a year
- Full-time
- Bachelor's degree
- Travel
- Training & development
- Profit sharing
Compliance Team Lead
Celigo —Remote
- $100,000 - $125,000 a year
- Remote
- HIPAA
- 3 years
- Organizational skills
- Parental leave
Quick Apply
Director, Quality Systems and Compliance
Loyal —Remote
- $180,000 - $220,000 a year
- Remote
- Bachelor's degree
- Experience equivalent to degree accepted
- Senior level
- Paid holidays
- Health insurance
11d
Compliance Officer North America
Foundever —Remote
- Remote
- Mid-level
- Finance
- Bachelor's degree
13d
Compliance Coordinator
AMC ACQUISITIONS LLC —Greenville, SC
- Full-time
- Computer literacy
- English
- Mid-level
Quick Apply
9d
Senior Director, Compliance & Continuous Improvement
Community Resources For Justice —Boston, MA
- Full-time
- Nursing
- Residential
- 3 years
Quick Apply
10d
Compliance Manager
SNI Companies —Athol, MA
- $100,000 - $120,000 a year
- Monday to Friday
- Research
- Mid-level
- Office
- Dental insurance
- Paid time off
Quick Apply
Label Compliance Specialist
Health Genesis Corp —Davie, FL
- Full-time
- Background check
- Research
- Mid-level
- Health insurance
- Dental insurance
Quick Apply
Senior Compliance Specialist - Altavista, VA Plant
Abbott Laboratories —Altavista, VA
- $78,000 - $156,000 a year
- Full-time
- OSHA
- Bachelor's degree
- Children
- Health insurance
- Tuition reimbursement
Insurance Compliance Analyst
Old Republic Insured Automotive Services —Philadelphia, PA
- $65,000 - $80,000 a year
- Full-time
- Microsoft Outlook
- Mid-level
- High school diploma or GED
- Health savings account
- Paid holidays
11d
Remote Retirement Plan Compliance Analyst
FuturePlan —Remote
- $65,000 - $95,000 a year
- Online Application
- Hybrid work
- Microsoft Outlook
- Mid-level
- 3 years
- Health insurance
- Dental insurance
GMP QC Compliance Specialist (Remote)
Pace Analytical Life Sciences —Puerto Rico
- Full-time
- Remote
- 5 years
- Mentoring
- Senior level
- Wellness program
- Health savings account
11d
Telecom - Regulatory Compliance Manager -
Addison Group —Hoffman Estates, IL
- $100,000 - $180,000 a year
- Full-time
- 5 years
- Military
- Experience equivalent to degree accepted
- Dental insurance
- 401(k)
Quick Apply
Senior Compliance Professional
Humana —Remote
- $86,300 - $118,700 a year
- Full-time
- Remote
- Microsoft Word
- Research
- Bachelor's degree
- Paid parental leave
- Paid holidays

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Compliance Officer

Concorde Investment Services -
Boca Raton, FL

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Job Details

Full-time
$60,000 - $90,000 a year

Benefits

Health savings account
Health insurance
Dental insurance
401(k)
Flexible spending account
Paid time off
Vision insurance
401(k) matching
Professional development assistance
Flexible schedule
Life insurance

Qualifications

Securities & Exchange Commission
Research
Series 7
Securities law compliance support experience
Bachelor's degree
Organizational skills
Securities law
Financial services
Series 63
Training delivery

Full Job 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 Senior Compliance Officer 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

Quick Apply

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