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Compliance Officer (Wealth Advisory) Bilingual (Spanish)
Compliance Officer (Wealth Advisory) Bilingual (Spanish)Ascendo Resources • Boca Raton, FL, US
Compliance Officer (Wealth Advisory) Bilingual (Spanish)

Compliance Officer (Wealth Advisory) Bilingual (Spanish)

Ascendo Resources • Boca Raton, FL, US
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Compliance Officer (Wealth Advisory) Bilingual (Spanish)

2 days ago Be among the first 25 applicants

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This range is provided by Ascendo Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$175,000.00 / yr - $200,000.00 / yr

Direct message the job poster from Ascendo Resources

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 :

  • Lead and manage compliance assessments, operational reviews, and internal control evaluations
  • Analyze and test Anti-Money Laundering (AML) programs and broader compliance frameworks to identify risks and recommend enhancements
  • Translate technical regulatory issues into practical solutions for clients
  • Maintain and grow client relationships while supporting business development initiatives
  • Travel to client engagements as needed

Key Areas of Regulatory Focus :

  • Financial Industry Regulatory Authority (FINRA)
  • Securities and Exchange Commission (SEC)
  • DOL PTE 2020-02
  • U.S. Patriot Act
  • Bank Secrecy Act (BSA)
  • Office of Foreign Assets Control (OFAC)
  • Qualifications :

  • 6–8 years of experience working with broker-dealers, investment advisors, or within a regulatory compliance setting
  • Bachelor's degree in a relevant field
  • Solid understanding of financial regulations, including the Securities Acts of 1933 and 1934 and the Investment Adviser Act of 1940
  • Strong analytical skills and fluency in Microsoft Excel
  • Excellent communication skills, both written and verbal
  • Spanish language is required
  • Preferred Attributes :

  • Compliance-related certifications (e.g., CAMS, CRCM)
  • Availability for occasional overtime and travel
  • Seniority level

  • Mid-Senior level
  • Employment type

  • Full-time
  • Job function

  • Finance
  • Industries

  • Banking, Investment Management, and Investment Advice
  • Referrals increase your chances of interviewing at Ascendo Resources by 2x

    Inferred from the description for this job

    Medical insurance

    Vision insurance

    401(k)

    Paid maternity leave

    Paid paternity leave

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    Bilingual Compliance • Boca Raton, FL, US

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