Top 9 aml Jobs in boca raton fl

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
Commodity Risk Advisor
Roach Ag. Marketing —Boca Raton, FL
- $67,200 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Marketing
- Paid holidays
- Disability insurance
Account Support Analyst
RELX —Boca Raton, FL
- $36,700 - $61,300 a year
- Overtime
- Bilingual
- Microsoft Excel
- Microsoft Outlook
- Disability insurance
- Health insurance
Corporate Security Specialist
AD Mortgage —Fort Lauderdale, FL
- Full-time
- Mid-level
- Office
- Finance
- Paid training
- Health insurance
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Temporary Senior Consultant - Financial Crime Audit & Testing
Crowe —Fort Lauderdale, FL
- Full-time
- Mid-level
- 3 years
- Bachelor's degree
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Commercial Loan Officer III
Centennial Bank —West Palm Beach, FL
- Microsoft Word
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aml jobs near boca raton fl

Compliance Officer

Concorde Investment Services -
Boca Raton, FL

Quick Apply

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
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

Refine Your Search

aml jobs in boca raton fl

Compliance Officer

Commodity Risk Advisor

Account Support Analyst

Corporate Security Specialist

Temporary Senior Consultant - Financial Crime Audit & Testing

Commercial Loan Officer III

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