Compliance Manager
Boca Raton, FL • Boca Raton, FL • Full Time
Posted on Mon, Sep 7, 2026
Compliance (RIA) opportunity in Boca Raton
Our client is a small investment advisory firm based out of Boca Raton, FL, with three offices. With a team of nine dedicated professionals, four of whom specialize in investment advisory services and provide comprehensive financial guidance to their clients is seeking a Compliance person with RIA experience looking to join their growing Boca Raton office.
- Concepts, practices, and procedures of securities industry compliance
- Client Bank Regulations governing Financial Holding Companies
- Compliance and legal procedures in the financial services industry
- 5+ years of Compliance experience, RIA highly preferred.
- Lead projects, programs or processes with significant business impact involving cross-functional teams
AuditFriendly salary estimate
The employer did not post a salary for this role. Based on AuditFriendly's salary intelligence model (comparable live postings, role, seniority, and location), we estimate base pay of $95,000–$146,000 per year (median ~$120,000). This is an AuditFriendly estimate, not an employer-provided figure.
More live compliance_manager roles
- Compliance Manager at Sika — Baar, ZG, CH
- Senior Product Compliance Manager at OKX — Hong Kong, Hong Kong SAR; Singapore, Singapore
- Compliance Manager at UpDoc — San Francisco, California, United States
- Regulatory Compliance Manager at Tuath Housing Association — Dublin, Ireland
- Compliance Manager at Talbot Group — Stamullen, County Meath, Ireland
- Sr. Compliance Manager- Real Estate Secured at KeyBank — Amherst, New York, United States
- Senior Compliance Manager - Real Estate Secured at KeyBank — Amherst, New York, United States
- Compliance Manager at Orion Placement — Beverly, Massachusetts, United States
- EHS & Compliance Manager - Mission Critical Construction at Augmentis (Remote)
- Finance Risk & Compliance Manager at LinkedIn — Sunnyvale, CA, United States
- Employee Relations & Compliance Manager at PMHCC — Philadelphia, PA, US
- Contracts & Compliance Manager at Polymer Concepts Technologies (Remote)
- Senior Compliance Manager - Global Fcc Investigations at OKX — EMEA
- Ethics and Compliance Manager – ATL Region at City of Hope — Newnan, Georgia, United States
- Compliance Manager FCC at Fidelity International — Mississauga, Ontario, Canada
- Regulatory Compliance Manager at 6010-Biosense Webster Legal Entity — Irvine, California, United States
- Ot Systems And Compliance Manager at Southern Company — Birmingham, AL, United States
- Quality Compliance Manager at Baxter — Cali, Valle del Cauca
- Retirement Plan Compliance Manager at WTW (Remote)
- Trade Compliance Manager (Customs) at Caterpillar — Shrewsbury, United Kingdom
- Environmental Compliance Manager at Veolia — Taylor, TX, US
- Regulatory Compliance Manager (Hybrid) at CareFirst — Baltimore, MD, United States
- Trade Compliance Manager at Teledyne Technologies — Dallas, Texas, US
- Import/Export Compliance Manager — Smithfield, Rhode Island, US
- Emea Hr Compliance Manager at CrowdStrike — Spain - Barcelona
- Regulatory Compliance Manager at Johnson & Johnson Services — Irvine, California, United States of America
- Compliance Manager at Aditi Consulting — Plano, Texas, United States
- Quality Assurance Compliance Manager at Aequor — Fall River, MA, US
- Lending Compliance Manager — New York, NY, US
- Compliance Manager — Piscataway, NJ, US
- ARC Regional Transportation & Compliance Manager at The Salvation Army — Fresno, California, United States
- Compliance Manager at BCI Management — North East, Maryland, United States
- Regulatory Compliance Manager at Monex — Amsterdam, Netherlands
- Risk & Compliance Manager at BGIS — Sydney, New South Wales, Australia
- Compliance Manager, Customs at DSV — Atlanta, Georgia, US
- Compliance Manager at Arby's (Remote)
- NERC Compliance Manager at Spark Power (Remote)