Top 16 chief compliance officer Jobs in florida

Chief Compliance Officer
Concorde Investment Services —Boca Raton, FL
- From $130,000 a year
- Full-time
- Background check
- Office
- Continuous improvement
- Health savings account
- Health insurance
Quick Apply
CCO RIA
MJ Boyd Consulting —Miami, FL
- $200,000 - $250,000 a year
- Spanish
- Office
- Senior level
Quick Apply
6d
Director of Compliance and Risk Management
Discovery Senior Living —Bonita Springs, FL
- $115,000 - $135,000 a year
- Nursing
- Microsoft Excel
- Microsoft Outlook
- Paid holidays
- Health insurance
Quick Apply
Chief Compliance Officer
Webull Financial —Saint Petersburg, FL
- $165,000 - $200,000 a year
- 6 years
- Office
- Continuous improvement
- Commuter assistance
- Paid parental leave
Chief Code Compliance Officer
City of Sunrise —Oakland Park, FL
- $58,686.79 - $82,923.28 a year
- Full-time
- Clean driving record
- Microsoft Excel
- Research
Board of Rules and Appeals- Energy Chief Code Compliance Officer
Broward County —University, FL
- $108,544 - $151,891 a year
- Full-time
- 3 years
- Construction
- Senior level
Board of Rules and Appeals- Energy Chief Code Compliance Officer
Broward County Board of County Commissioners —Plantation, FL
- $108,544 - $151,891 a year
- Full-time
- 3 years
- Construction
- Senior level
- Paid training
- Health insurance
CHIEF COMPLIANCE OFFICER
H. Lee Moffitt Cancer Center —Tampa, FL
- 8 hour shift
- 5 years
- Research
- Office
Director of Compliance and Risk Management
Lennar —Miami, FL
- Full-time
- Analysis skills
- Mentoring
- Senior level
- Paid parental leave
- Health insurance
Director - Compliance
Selene Finance LP —Jacksonville, FL
- Full-time
- Office
- Finance
- 8 years
- Health savings account
- Paid holidays
Quick Apply
DIRECTOR or SENIOR DIRECTOR OF COMPLIANCE
Seminole Electric —Tampa, FL
- Full-time
- HIPAA
- Driver's License
- Continuous improvement
Quick Apply
Director of Compliance
UniVista Insurance —Miami, FL
- $80,000 - $120,000 a year
- Full-time
- Background check
- Spanish
- HIPAA

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Chief Compliance Officer

Concorde Investment Services -
Boca Raton, FL

Quick Apply

Job Details

Full-time
From $130,000 a year

Benefits

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

Qualifications

Investment firm experience
Teamwork
Team supervision
Securities & Exchange Commission
Series 7
Securities law compliance support
Securities law
FINRA License
Financial services
Training & development
Securities companies
Senior leadership

Full Job Description

Position Overview

The Chief Compliance Officer (“CCO”) serves as a senior member of the executive leadership team and is responsible for the design, implementation and oversight of the firm’s enterprise compliance program across its broker-dealer and registered investment adviser businesses.

This role provides strategic leadership in managing regulatory risk, maintaining a strong culture of compliance and ensuring the firm’s supervisory systems, policies and procedures align with applicable FINRA, SEC and state regulatory requirements.

The CCO works closely with senior leadership, legal counsel and regulators to support the firm’s continued growth while maintaining the highest standards of regulatory integrity and investor protection.

Key Responsibilities

Enterprise Compliance Leadership

Lead and oversee the firm’s enterprise compliance program across its broker-dealer and investment adviser businesses.
Maintain and enhance the firm’s compliance framework, including Written Supervisory Procedures (“WSPs”), Code of Ethics and other compliance policies required under FINRA, SEC and state regulations.
Serve as a strategic advisor to executive leadership on regulatory matters, emerging risks and compliance considerations related to the firm’s growth initiatives.

Regulatory Oversight

Ensure the firm maintains an effective supervisory system designed to achieve compliance with applicable securities laws and regulations, including FINRA Rule 3110.
Oversee the development, maintenance and testing of supervisory procedures governing the firm’s brokerage, advisory and insurance activities.
Lead the firm’s regulatory examination and inquiry process, including coordination with FINRA, the SEC and state regulators.
Serve as the firm’s primary compliance liaison with regulatory authorities.

Compliance Program Administration

Administer the firm’s compliance program consistent with SEC Investment Advisers Act Rule 206(4)-7, including conducting and documenting the annual review of the investment adviser compliance program.
Support the firm’s annual compliance certification process in accordance with FINRA Rule 3130.
Oversee regulatory filings and reporting, including Form ADV, Form CRS and other required filings.

Risk Monitoring and Surveillance

Implement and oversee compliance monitoring, surveillance and testing programs designed to identify and mitigate regulatory risks.
Conduct periodic risk assessments across brokerage and advisory activities.
Oversee processes related to:
customer complaints
outside business activities
private securities transactions
advertising and marketing review
electronic communications supervision

Branch Supervision and Inspections

Oversee the firm’s branch office inspection program and supervisory controls.
Ensure inspections and supervisory reviews are conducted in accordance with regulatory requirements and internal policies.

Compliance Team Leadership

Lead, mentor and develop the compliance team.
Establish departmental goals, key performance indicators and performance management processes.
Promote a culture of accountability, collaboration and continuous improvement within the compliance organization.

Compliance Training and Culture

Develop and oversee compliance training programs for registered representatives and employees.
Foster a strong culture of compliance and ethical conduct across the organization.
Provide guidance to business leaders on regulatory developments and compliance best practices.

Collaboration with Legal and Executive Leadership

Collaborate with outside legal counsel and senior leadership to evaluate regulatory developments, legal risks and compliance implications for the firm.
Provide compliance input on new products, strategic initiatives and business expansion.
Participate in executive leadership meetings and firm committees, including investment and due diligence committees.

Qualifications and Experience

Minimum 10 years of experience in securities industry compliance, including leadership roles within a broker-dealer or hybrid broker-dealer/RIA environment.
Prior experience serving as a Chief Compliance Officer, Deputy CCO or senior compliance executive at a regulated financial services firm.
Strong working knowledge of FINRA, SEC and state regulatory frameworks governing broker-dealers and investment advisers.
Demonstrated experience managing regulatory examinations and regulatory inquiries.
Experience with independent broker-dealer platforms and alternative investments is strongly preferred.
Proven leadership ability with experience managing and developing compliance teams.

Required Licenses

Candidates must hold or be able to obtain the following FINRA registrations:

Series 7
Series 24
Series 63
Series 65 or Series 66

Preferred Licenses

Series 4
Series 53

Professional Skills

Successful candidates will demonstrate:

Strong regulatory judgment and risk management expertise
Exceptional leadership and communication skills
Ability to work effectively with regulators, executives and advisors
Strategic thinking combined with practical execution
High integrity and commitment to investor protection

Compensation and Benefits

Compensation will include a competitive base salary and an annual performance bonus tied to the effectiveness of the firm’s compliance program, regulatory examination outcomes, risk management initiatives and leadership contributions to the firm’s regulatory framework.

Pay: From $130,000.00 per year

Benefits:

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

Experience:

Securities Compliance: 10 years (Required)

License/Certification:

Series 7, Series 24, Series 63, and Series 65 or Series 66 (Required)

Ability to Relocate:

Boca Raton, FL 33486: Relocate before starting work (Required)

Work Location: In person

Quick Apply

Refine Your Search

chief compliance officer jobs in florida

Chief Compliance Officer

CCO RIA

Director of Compliance and Risk Management

Chief Compliance Officer

Chief Code Compliance Officer

Board of Rules and Appeals- Energy Chief Code Compliance Officer

Board of Rules and Appeals- Energy Chief Code Compliance Officer

CHIEF COMPLIANCE OFFICER

Director of Compliance and Risk Management

Director - Compliance

DIRECTOR or SENIOR DIRECTOR OF COMPLIANCE

Director of Compliance

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