B/D RIA Compliance Manager Position Available In Palm Beach, Florida

Between $60k and
$70k
Per Year B/D RIA Compliance Manager
Synectics, Inc.

Location:

Palm Beach Gardens, FL – 33410
Positions available: 1
Job #:

SYNECEXT-11408

Source:

Synectics, Inc.

Posted:

6/27/2025

Web Site:

www.synectics.com

Job Type:

Full Time (30 Hours or More) Job Requirements and Properties Help for Job Requirements and Properties. Opens a new window. Job Requirements and Properties Help for Job Requirements and Properties. Opens a new window.
Work Onsite
Full Time Schedule
Full Time
Job Description Help for Job Description. Opens a new window. Job Description Help for Job Description. Opens a new window.

Compliance Manager Location:

Palm Beach Gardens, FL Employment Type:

Full-time Summary:

As a senior member of the Compliance Department, the Compliance Manager helps mitigate risk and ensures the firm meets regulatory obligations. This individual will lead a compliance team, manage regulatory requests and exams, and work cross-functionally to maintain strong adherence to industry rules and internal policy.

Key Responsibilities:

• Manage responses to State, FINRA, and SEC examinations and inquiries
• Review client complaints and ensure compliance with FINRA Rule 4530
• Develop and analyze compliance reports to identify risks and trends
• Update and maintain compliance policies and procedures
• Partner with operations, technology, and business teams to ensure regulatory compliance
• Serve as a compliance resource across the firm and represent the department on cross-functional committees
• Identify departmental risks and contribute to strategic planning
• Oversee business case initiatives and compliance-related technology requests

Supervisory Responsibilities:

• Supervise a team of compliance professionals
• Provide training, performance reviews, and goal setting
• Recommend staffing adjustments when needed Additional Information Help for Additional Information.

Opens a new window. Additional Information Help for Additional Information. Opens a new window.

Requirements:

• 5+ years of experience in financial services, preferably in a Broker-Dealer or RIA setting
• Strong understanding of Broker/Dealer and Investment Adviser regulations
• Series 7, 63, and 24 licenses required
• Excellent communication, problem-solving, and organizational skills
• Ability to analyze data and identify risk patterns
• Proficient in Microsoft Office; able to learn internal platforms
• Ability to travel on short notice (up to one week)

Preferred Attributes:

• Experience with regulatory inquiries, complaints, or investigations
• Strong team leadership and mentorship capabilities
• Professional and empathetic communication style
• Strategic mindset with the ability to manage high-volume or complex projects

Benefits:

• Company-paid medical plan for employee and family
• Company-paid long-term disability (LTD) insurance
• Company-paid life insurance (3x annual salary)
• 4 weeks paid time off (PTO)
• Employee-paid optional dental coverage
• Employee-paid optional short-term disability (STD) insurance Help for Employer Information.

Opens a new window.