What are the responsibilities and job description for the Risk Advisory (Broker Dealer) Manager position at Kaufman Rossin?
Why We Stand Out
Seeking a new challenge where your professional and personal aspirations are not only possible but supported? Kaufman Rossin might be just the place for you!
As one of the top accounting firms in the country, our foundation is "people first". In the words of James Kaufman, "we prioritize our people, their development, and their well-being...Our values are translated into action every day..."
Celebrated as the Best Place to Work in South Florida over a dozen times, Kaufman Rossin has grown to over 450 employees, with offices spanning the tri-county area, including sister entities Kaufman Rossin Wealth and Kaufman Rossin Alternative Investment Services.
Think you have what it takes?
How You'll Contribute:
Kaufman Rossin is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay in compliance with these regulators.
What Skills You'll Bring:
We embrace authenticity. Kaufman Rossin is an equal opportunity employer. We are committed to creating a culture that reflects the diversity of our firm and clients. We encourage understanding, acceptance, and celebration among all people. That includes lifestyle, education, experience, race, ethnicity, age, religion, physical ability, sexual orientation, and gender identity. Differences make unique varieties.
Seeking a new challenge where your professional and personal aspirations are not only possible but supported? Kaufman Rossin might be just the place for you!
As one of the top accounting firms in the country, our foundation is "people first". In the words of James Kaufman, "we prioritize our people, their development, and their well-being...Our values are translated into action every day..."
Celebrated as the Best Place to Work in South Florida over a dozen times, Kaufman Rossin has grown to over 450 employees, with offices spanning the tri-county area, including sister entities Kaufman Rossin Wealth and Kaufman Rossin Alternative Investment Services.
Think you have what it takes?
How You'll Contribute:
Kaufman Rossin is seeking a Manager-level professional to join our dynamic Risk Advisory group, in Boca Raton. This group assists broker-dealers, registered investment advisors, and hedge fund managers navigate FINRA & SEC regulations to stay in compliance with these regulators.
- Co-lead the team, assisting with the execution and completion of operational, regulatory compliance, and business process control assessments
- Perform evaluation and testing of Anti-Money Laundering and compliance programs to identify areas of risk
- Develop creative and practical solutions for improvements that address identified risks
- Identify and communicate technical matters to both clients and engagement team
- Develop and maintain client relationships
- Actively assist with business development efforts
What Skills You'll Bring:
- 6 - 8 years of experience at a broker dealer, investment adviser, or within a regulatory compliance environment
- Bachelor's degree in a relevant technical field
- Strong analytical skills including knowledgeable FINRA rule, Securities and Exchange 33 and 34 Acts, and Investment Adviser Act of 1940
- Computer proficiency in Microsoft Office, specifically Excel
- Ability to effectively communicate with management and clients
- Bilingual in Spanish preferred
- Attentive to details
- Industry-specific certifications
- Ability to work overtime
- Ability to periodically travel to different engagements
We embrace authenticity. Kaufman Rossin is an equal opportunity employer. We are committed to creating a culture that reflects the diversity of our firm and clients. We encourage understanding, acceptance, and celebration among all people. That includes lifestyle, education, experience, race, ethnicity, age, religion, physical ability, sexual orientation, and gender identity. Differences make unique varieties.
