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

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Company:
Synectics, Inc.
Salary:
$70000
JobFull-timeOnsite

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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