Kaufman Rossin
Risk Advisory (Broker Dealer) Manager
Kaufman Rossin, Boca Raton, Florida, United States, 33431
Kaufman Rossin Risk Advisory Manager
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-beingOur 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
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-beingOur 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