Compliance Specialist

Compliance Specialist Wealth Management Compliance Principal (Series 7 and 24 License) LHH recruitment solutions is hiring and a Wealth Management compliance principal in the Palm Beach Gardens, FL area. Our client is looking for a compliance principal that has an active series 7 and 24 license that is in good standing. This position is working fully in office with a great company that offers excellent benefits. This position is working fully in office. Benefit offerings for full-time employment include medical, dental, vision, term life and AD&D insurance, short-term and long-term disability, additional voluntary benefits. Responsibilities to include: Review New Business for Suitability and Best Interest. Fixed, Indexed and Variable Annuities (Also subsequent reviews) Mutual Funds & Structured Products Alternative Investments: REIT's, Reg D, Internal/Closed End MF's (Also subsequent reviews) Equity, EFT's Bonds, UIT's (Backup Suitability Review for Brokerage and Advisory that are Non-Discretion and No Models) Advisory Conduct both Brokerage and Advisory Surveillance You are a great fit if: Securities Licenses: 7, 24 required . A 63 is not required but would be a plus. Fingerprinting required This position is a direct hire opportunity that can pay $80-$100k depending on resume and experience. Please apply today! Equal Opportunity Employer/Veterans/Disabled To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to Pay Details: $80,000.00 to $100,000.00 per year Search managed by: Luis Garcia Equal Opportunity Employer/Veterans/Disabled Military connected talent encouraged to apply To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable: The California Fair Chance Act Los Angeles City Fair Chance Ordinance Los Angeles County Fair Chance Ordinance for Employers San Francisco Fair Chance Ordinance Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability. Ref: US_EN_27_814328_3118473

Created: 2026-03-07