Responsibilities: Help develop and implement compliance policies and procedures for the US broker dealer business based upon regulatory requirements, industry practices and established internal controls. Ensure that all required documentation is properly provided to the regulatory authorities and maintained by the Company. Conduct oversight, testing and remediation in accordance with FINRA Rule 3012. Identify gaps or risk exposures in operations and implement all necessary checks-and-balances and risk assessment reviews including internal audits and automated surveillance/monitoring programs. Perform daily, weekly, monthly, quarterly, and annual compliance reviews (including transaction reviews). Provide training and advice to the Company’s employees and management regarding applicable securities rules, regulations, and firm policies. Effectively analyze situations and apply experience and judgment to resolve issues in a timely manner. Identify any new or updated regulatory requirements that may lead to changed policies. Liaise with the Front Office, Compliance, Legal and other departments regarding internal Group policies and issues. Requirements: Bachelor’s degree or equivalent work experience required. 3+ years of compliance experience. FINRA Series 7 license, Series 24 preferred. Knowledge of broker dealer regulatory environment required, including FINRA, SEC, and NFA rules. Ability to work with individuals at all levels of an organization required. Adept at interfacing with external constituents including regulators and other representatives. Strong analytical and critical thinking skills, sound judgment and decision-making skills, and strong verbal and written communication skills. A solid businessperson, intellectually sharp and energetic, who is dedicated to the improvement of the productivity and profitability of the organization. A results-oriented and resourceful leader who is capable of quickly taking control of his/her responsibilities and establishing himself/herself as a credible and creative business partner. Location: BTG Pactual US Capital LLC, 200 S Biscayne Blvd, 55th Floor, Miami, FL, 33131 By submitting this application, I agree to share the information above. Your information will only be used to evaluate the application process and talent database for BTG Pactual and its subsidiaries in accordance with our privacy policy.