What are the responsibilities and job description for the Compliance Officer position at Money Manager Inc?
Overview:
Join our team at an established RIA/Broker Dealer with over three decades of experience, with $85 million in Assets Under Management (AUM). Split between $27 million on the RIA side and $58 million on the Broker Dealer side, our owner is seeking a Compliance Officer to replace the current third-party compliance officer.
We're seeking candidates with a minimum of 5 to 7 years of compliance officer experience.
Based in Wellington, Florida, the position offers a hybrid work arrangement with flexible hours, requiring initial on-site presence.
The ideal candidate will assist in establishing necessary paperwork and procedures in-house for a few months. Immediate availability is preferred, with potential benefits, bonus plans, and revenue-sharing opportunities available.
Responsibilities:
- Organize, document, and maintain regulatory & registration files.
- Assist in Operations, client reports and presentations.
- Take the initiative to optimize processes to improve efficiency.
- Assist with various ad hoc projects as needed.
Qualifications:
- 3 years of Compliance and support experience in the Financial Services preferred (Wealth Management, Brokerage, and or Advisory Services)
- Proactive, with ability to work in a fast-paced environment.
- Bachelor’s or associate degree preferred.
- Strong written, verbal, and interpersonal skills.
- Excellent time-management, organizational, problem-solving, and prioritization skills.
- Strong knowledge of Excell & Microsoft Office products with strong technical skills.
- Positive, collaborative, and team oriented.
- Experience working with performance reporting software, CRM databases, and document management software a plus.
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Job Type: Full-time
Pay: $50,000.00 - $75,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
Schedule:
- 8 hour shift
- Day shift
- Monday to Friday
- No weekends
Experience:
- Compliance management: 5 years (Required)
Ability to Commute:
- Wellington, FL (Required)
Ability to Relocate:
- Wellington, FL: Relocate before starting work (Required)
Work Location: In person
Salary : $50,000 - $75,000