(972) 393-4471
Miami, FL, US
Emp Type: Full time / Direct Hire
Industry: ENGINEERING
Salary: 80,000 - 130,000 Annual
6 days ago
A leading financial services firm and fully owned subsidiary of a global financial group connects individuals and businesses with global investment opportunities, offering personalized advice and direct access to international financial markets. The firm focuses on solutions designed to preserve and grow client wealth through tailored strategies.
As a Broker/Dealer member of FINRA and SIPC, the company operates under strict regulatory standards to help ensure the protection and security of client investments. The company values professionalism, integrity, and a client-centric approach.
The Compliance Officer / Specialist is a full-time, on-site role based in Miami, FL, responsible for overseeing and supporting the firm's adherence to applicable laws, regulations, and internal policies.
Day-to-day responsibilities include monitoring regulatory changes, maintaining and updating compliance frameworks and Written Supervisory Procedures (WSPs), conducting internal reviews, and preparing reports for management.
The role involves supporting audits and examinations, reviewing client documentation and transactions for compliance risks, and ensuring accurate recordkeeping. The Compliance Officer / Specialist will also assist in developing and delivering compliance training, respond to compliance-related inquiries, and collaborate with internal teams to address potential issues proactively.
Monitor and assess regulatory changes and developments that affect the financial brokerage industry
Update the Written Supervisory Procedures (WSPs) as needed
Develop and update compliance policies and procedures to ensure adherence to all applicable laws and regulations
Ensure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), and other industry-standard requirements
Conduct internal audits and inspections to identify potential compliance risks and improve the effectiveness of controls
Investigate and respond to customer complaints and regulatory inquiries in a timely manner
Provide guidance and training to employees on compliance-related issues
Collaborate with other departments to develop and implement strategies to mitigate compliance risks
Keep abreast of industry best practices and recommend improvements to internal processes and procedures
Assist with the onboarding of new clients
Conduct AML account monitoring
Maintain accurate records of compliance activities, including audits, regulatory filings, and training records
Strong skills in Compliance Management and Regulatory Compliance, including experience implementing and monitoring compliance programs
Solid analytical skills and finance knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activities
Effective communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teams
Relevant experience in a broker-dealer within FINRA-regulated entities
Bachelor's degree in Finance, Law, Business, or a related field
Professional certifications in compliance or securities regulation, such as CRCM or CAMS, are a plus
Demonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environment
Fluency in Spanish and English
FINRA licenses: SIE and Series 7
Series 24 is desirable, or the ability to obtain it within the first year
The company offers a competitive compensation package together with:
Health insurance
Vision insurance
Life insurance
Short- and long-term disability insurance
401(k) with a matching contribution by the firm
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