Compliance Risk Manager

4 days ago


Orlando, Florida, United States International Assets Advisory, LLC Full time

International Assets Advisory, LLC is seeking a highly skilled Compliance Risk Manager to support our broker-dealer's Chief Compliance Officer (CCO) and compliance team.

Job Overview

The ideal candidate will have experience in regulatory compliance within a broker-dealer and an understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations. As a Compliance Risk Manager, you will assist in monitoring the regulatory compliance program and reporting directly to the CCO.

Responsibilities:

  • Review sales and trading activities of financial advisors
  • Conduct licensing and registration activities for broker dealer and RIA, including Form U4, U5, and disclosures
  • Respond to state registration inquiries
  • Participate in onboarding new advisors
  • Track, report, and resolve deficiencies related to exception reports
  • Assist in investigating customer complaints and FINRA/SEC inquiries
  • Provide monthly and quarterly compliance reports to the CCO

We offer a competitive salary range of $85,000 - $110,000 per year, depending on experience.



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