We are a clearing broker/dealer located in Miami, Florida in search of a
Compliance Associate
with 3-5 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to applicants that have clearing firm experience and meet all required licensing and certifications.
DUTIES AND RESPONSIBILITIES
the Chief Compliance Officer, AMLCO, and Risk Manager in the development, maintenance, and management of the Firm's compliance program pursuant to FINRA and SEC rules and regulations
the overall compliance efforts of the Chief Compliance Officer and AMLCO
in daily, bi-monthly and monthly FinCEN monitoring, OFAC screening, and other routine monitoring and reporting
the risk and surveillance team with trade surveillance and risk management efforts, tracking and follow-up of escalated matters
in responding to regulatory, internal and external inquiries
with client onboarding processing and due diligence reviews
in the development and delivery of the in-person annual compliance meeting
in various data protection, privacy and information security initiatives
maintain, and operate workflows to support the compliance program
the compliance team in the monitoring of employee communications, personal trading reviews and other compliance initiatives as assigned
QUALIFICATIONS
(3) to Five (5) years' experience as a compliance professional supporting the compliance function at a FINRA member firm; knowledge of equity and options trading a plus
proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
and/or certification with Jira or similar work management software a plus
self-starter with a positive, can-do attitude; ability to engage proactively
organized with an the ability to effectively manage changing priorities
clean FINRA U4 and background is required for this position
License or Certification Requirements
Series 7 required
Series 24 preferred (or obtained within 1 year)
This position is a full-time onsite position located at our headquarters in Miami, FL. Salary is competitive, and medical, dental and vision benefits are included.Life, long-term disability and 401(k) options are available.
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