Compliance Specialist

Compliance Specialist – Wealth Management Firm
 
One of San Diego's wealth management firms is seeking a compliance specialist who can bring expertise to the team. The company is on a dramatic growth path with the strong demand for its unique product offerings, and offers exciting career opportunities. Interested? Your strong background in compliance combined with your interpersonal skills will help you to excel in this close-knit environment. Apply today to join, grow, and learn!
 
Who you are:

• Bachelor's in Business, Finance, Accounting, or similar field.
• 2-5+ years of compliance experience within financial services.
• Bilingual in Spanish
• Experience with FINRA, SEC, and AML compliance
• FINRA Series 24 license required

 
What you’ll do:

• Ensure compliance with FINRA, SEC, and AML
• Manage the AML program including due diligence, monitoring for suspicious activity, and filing SARs
• Maintaining and implementing the firms compliance program and maintain knowledge of regulating changes that will impact the firm
• Work frequently with Spanish-speaking brokers and clients

 
Why work here:

• High-growth environment: started as a Broker Dealer and now a diversified boutique wealth management firm in the US & Latin America
• Amazing Benefits: 90% covered medical benefits, 401k match, 2 floating holidays, covered life insurance, discounted parking/gym membership!
• Culture: Great company dynamic and culture. The company cares about their employees and others!

 
What does this position pay?

• Compensation is determined by several factors which may include skillset, qualifications/certifications, experience level, and geographic location.
• The expected range for this role is $75-90K, annualized base compensation, with additional compensation components. Please note this range is an estimate and actual may vary based on qualifications and experience.

 
Please send your resume to Emma at ebruno@provenrecruiting.com if you have the requisite qualifications and are interested in the opportunity.
 
Note: We actively support and promote people of various backgrounds, from race, religion and gender to geographical area, university, lifestyle, and personality type. Proven Recruiting is minority-owned, majority women, and is a strong advocate for diversity and inclusion in the broader community. Do not hesitate to apply now!