A well-established advisory firm in South Florida seeks a Risk Advisory Manager to join its Regulatory Compliance team based in Boca Raton . This group specializes in supporting broker-dealers, registered investment advisors (RIAs), and asset managers with compliance related to U.S. financial regulations, including FINRA and SEC requirements.
The ideal candidate is someone who has the following experience:
Key Areas of Regulatory Focus:
Qualifications:
Preferred Attributes:
No licenses required
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