Senior Compliance Officer

Senior Compliance Officer Concorde Investment Services - 3.5 Boca Raton, FL Job Details Full-time $105,000 - $120,000 a year 7 days ago Benefits Health savings account Health insurance Dental insurance 401(k) Flexible spending account Paid time off Vision insurance 401(k) matching Professional development assistance Flexible schedule Life insurance Qualifications Securities & Exchange Commission Series 7 Team development Continuous improvement Alternative dispute resolution Financial services Training & development Series 63 Full Job Description About Us Concorde Holdings, Inc. is an innovative and rapidly expanding financial services firm specializing in broker-dealer, registered investment advisor (RIA), and insurance agency solutions. We pride ourselves on delivering exceptional investment, advisory, and insurance services to both financial professionals and clients. As we continue to scale, we are looking for a detailed and hands-on Senior Compliance Officer . Role Summary The Senior Compliance Officer supports the firm's compliance program across its broker‑dealer, investment adviser, and insurance operations. This role is responsible for regulatory responses, customer complaint oversight, dispute and arbitration support, licensing and registrations, compliance training, continuing education programs, and other compliance support as needed. The Senior Compliance Officer assists the CCO with the firm's compliance initiatives and leads key operational components of the firm's compliance infrastructure. Key Responsibilities Regulatory Inquiries, Exams & Responses Assist the CCO with SEC and FINRA examinations , including document production, coordination, and drafting portions of exam responses. Other regulatory inquiries, including state securities regulators, state insurance departments, FINRA matters unrelated to full firm examinations, and other ad‑hoc inquiries. Prepare written responses, remediation steps, and required follow‑up. Customer Complaints, Incidents & 4530 Reporting Investigate and respond to customer complaints, coordinating with senior leadership and legal when appropriate. Administer the Rule 4530 program, including event analysis, immediate (a)/(b) reporting, and quarterly (d) statistical filings, consistent with your complaint decision framework. Arbitration, Disputes & Disclosure Filings Support arbitration matters, including information gathering, response drafting, and coordination with outside counsel. Oversee Form U4 and U5 amendments, ensuring accuracy and timeliness (30‑day reporting windows) in alignment with internal WSPs. Licensing, Registration & Onboarding Controls Manage firm and associated‑person licensing and registrations. Oversee registration workflows, branch filings, OBA updates, and CE tracking requirements. Compliance Training & Continuing Education (CE) Conduct annual needs analysis, risk‑based topic selection, and course design. Administer platform logistics, track completion, and document CE evidence. Oversee state-required IAR CE course assignments, completions, and renewal readiness. Maintain documentation for audits and ensure state filings are timely. Track and ensure completion of S101/S201/S901 and any regulatory element updates required by FINRA. Maintain evidence records in compliance systems and incorporate CE status into onboarding, heightened supervision, and field supervision processes. Regulator & Internal Stakeholder Interaction Serve as a key point of contact for regulator communications (outside of formal exams). Provide compliance guidance to internal departments and field partners. Leadership & Team Development Manage, train, and mentor other members on the compliance team; set priorities, develop workflows, and oversee quality of work. Promote documentation standards, continuous improvement, and service excellence.

Job Type:

Full-time Pay:

$105,000.00 - $120,000.00 per year

Benefits:

401(k) 401(k) matching Dental insurance Flexible schedule Flexible spending account Health insurance Health savings account Life insurance Paid time off Professional development assistance Vision insurance Application Question(s): Do you have at least 5 years of experience in the financial services industry (preferably in a compliance role)? Do you currently have the following license criteria? Series 7, Series 63, and Series 65 or Series 66 and Series 24.

Work Location:

In person