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