Top 153 Compliance Jobs in Boca Raton Fl

Senior Compliance Officer
Concorde Investment Services —Boca Raton, FL
- $105,000 - $120,000 a year
- Full-time
- Management
- Office
- Continuous improvement
- Health savings account
- Health insurance
Quick Apply
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
Contract Administrator
Confidential —Boca Raton, FL
- Full-time
- Background check
- Mid-level
- 3 years
- Health savings account
- Health insurance
Quick Apply
Staff Auditor
McQuoid and Company CPA LLC —Lauderdale-by-the-Sea, FL
- $70,000 - $85,000 a year
- Full-time
- Hybrid work
- Microsoft Excel
- Research
- Mid-level
- Paid holidays
- Health insurance
Quick Apply
4d
Code Compliance Officer
HOLLYWOOD, FL —Hollywood, FL
- $26.83 - $40.79 an hour
- Full-time
- Background check
- Clean driving record
- Urgent Care
- Wellness program
- Paid holidays
Code Compliance Coordinator
City of Greenacres —Greenacres, FL
- $27.26 - $41.73 an hour
- Weekends as needed
- Microsoft Excel
- Research
- Mid-level
- Paid holidays
- Health insurance
6d
COMPLIANCE ANALYST - GRANT
City of Lake Worth Beach —Lake Worth, FL
- $67,275 - $90,563 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- English
Healthcare Billing Compliance Analyst - AI Trainer
DataAnnotation —Hollywood, FL
- From $20 an hour
- Overtime
- Remote
- Medicine
- Writing skills
- English
Quick Apply
Construction Contracts Counsel
Odin —West Palm Beach, FL
- $130,000 - $170,000 a year
- Full-time
- Microsoft Excel
- Microsoft Outlook
- Construction site
- Relocation assistance
- Health insurance
Quick Apply
RN - Director of Clinical Compliance - Home Health
Alpha Allied Home Care —Boca Raton, FL
- From $75,000 a year
- Full-time
- RN License
- Driver's License
- Home Health
- Paid holidays
- 401(k)
Quick Apply
10d
Child Welfare Contract Manager
ChildNet —Fort Lauderdale, FL
- $60,220 a year
- Full-time
- Hybrid work
- Mid-level
- Microsoft Office
- 3 years
- Health savings account
- Health insurance
Quick Apply
Senior Contracts Manager
Dayton Granger, Inc. —Fort Lauderdale, FL
- Urgently hiring
- Background check
- 5 years
- ERP systems
- Paid parental leave
- Paid holidays
Quick Apply
Director - Corporate Compliance - FT - Days - MHS
Memorial Healthcare System —Hollywood, FL
- Full-time
- HIPAA
- Office
- Master's degree
9d
In-House Counsel
Confidential —Palm Beach, FL
- From $120,000 a year
- Full-time
- In-person
- Training & development
- Senior level
- Health insurance
- Dental insurance
Quick Apply
10h
Physician Practice E&M Auditor Educator, BHMG Auditing & Coding, FT,8A-4:30P (Hybrid)
Baptist Health South Florida —Florida
- $26.13 - $33.97 an hour
- Full-time
- Hybrid work
- Customer service
- Research
- Mid-level
- Wellness program
- Health insurance
General Counsel
Seminole Tribe of Florida —Hollywood, FL
- Weekends as needed
- Doctoral degree
- Writing skills
- English
- Health insurance
- Dental insurance
Quick Apply
Coding Quality Auditor
Houston Methodist —Florida
- Full-time
- Anatomy knowledge
- English
- Mid-level
2d
Regulatory Compliance Analyst
RD Global Inc —Fort Lauderdale, FL
- Mid-level
- Office
- 3 years
- Disability insurance
Analyst - Regulatory Risk
Hard Rock Digital —Hollywood, FL
- Full-time
- Hybrid work
- Mid-level
- Analysis skills
- Communication skills
- Work from home
Quick Apply
Building Compliance Officer
HOLLYWOOD, FL —Hollywood, FL
- $38.10 - $57.92 an hour
- Full-time
- Background check
- Clean driving record
- Management
- Wellness program
- Paid holidays

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compliance jobs near boca raton fl

Senior Compliance Officer

Concorde Investment Services -
Boca Raton, FL

Quick Apply

Job Details

Full-time
$105,000 - $120,000 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
Series 7
Team development
Continuous improvement
Series 24
Alternative dispute resolution
Financial services
Training & development
Series 63

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 Senior Compliance Officer.

Role Summary

The Senior Compliance Officer supports the firm’s compliance program across its broker‑dealer, investment adviser, and insurance operations. This role is responsible for regulatory responses, customer complaint oversight, dispute and arbitration support, licensing and registrations, compliance training, continuing education programs, and other compliance support as needed. The Senior Compliance Officer assists the CCO with the firm’s compliance initiatives and leads key operational components of the firm's compliance infrastructure.

Key Responsibilities

Regulatory Inquiries, Exams & Responses

Assist the CCO with SEC and FINRA examinations, including document production, coordination, and drafting portions of exam responses.
Other regulatory inquiries, including state securities regulators, state insurance departments, FINRA matters unrelated to full firm examinations, and other ad‑hoc inquiries.
Prepare written responses, remediation steps, and required follow‑up.

Customer Complaints, Incidents & 4530 Reporting

Investigate and respond to customer complaints, coordinating with senior leadership and legal when appropriate.
Administer the Rule 4530 program, including event analysis, immediate (a)/(b) reporting, and quarterly (d) statistical filings, consistent with your complaint decision framework.

Arbitration, Disputes & Disclosure Filings

Support arbitration matters, including information gathering, response drafting, and coordination with outside counsel.
Oversee Form U4 and U5 amendments, ensuring accuracy and timeliness (30‑day reporting windows) in alignment with internal WSPs.

Licensing, Registration & Onboarding Controls

Manage firm and associated‑person licensing and registrations.
Oversee registration workflows, branch filings, OBA updates, and CE tracking requirements.

Compliance Training & Continuing Education (CE)

Conduct annual needs analysis, risk‑based topic selection, and course design.
Administer platform logistics, track completion, and document CE evidence.
Oversee state-required IAR CE course assignments, completions, and renewal readiness.
Maintain documentation for audits and ensure state filings are timely.
Track and ensure completion of S101/S201/S901 and any regulatory element updates required by FINRA.
Maintain evidence records in compliance systems and incorporate CE status into onboarding, heightened supervision, and field supervision processes.

Regulator & Internal Stakeholder Interaction

Serve as a key point of contact for regulator communications (outside of formal exams).
Provide compliance guidance to internal departments and field partners.

Leadership & Team Development

Manage, train, and mentor other members on the compliance team; set priorities, develop workflows, and oversee quality of work.
Promote documentation standards, continuous improvement, and service excellence.

Job Type: Full-time

Pay: $105,000.00 - $120,000.00 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

compliance jobs in boca raton fl

Senior Compliance Officer

Compliance Officer

Contract Administrator

Staff Auditor

Code Compliance Officer

Code Compliance Coordinator

COMPLIANCE ANALYST - GRANT

Healthcare Billing Compliance Analyst - AI Trainer

Construction Contracts Counsel

RN - Director of Clinical Compliance - Home Health

Child Welfare Contract Manager

Senior Contracts Manager

Director - Corporate Compliance - FT - Days - MHS

In-House Counsel

Physician Practice E&M Auditor Educator, BHMG Auditing & Coding, FT,8A-4:30P (Hybrid)

General Counsel

Coding Quality Auditor

Regulatory Compliance Analyst

Analyst - Regulatory Risk

Building Compliance Officer

I want to receive the latest job alert for compliance in boca raton fl

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