Compliance Officer
About The Position
Compliance Officer (Miami, FL) Monitor new regulatory mandates, rules, and requirements. Develop and maintain written supervisory procedures. Serve as the main point of contact with regulators, auditors, and attorneys. Ensure firm wide adherence to policies and procedures by working with the designated supervisors. Develop procedures to ensure compliance with all continuing education requirements for all registered representatives. Participate in creating a compliance plan and performing an annual compliance risk assessment. Coordinate the Annual Supervisory report and the Annual AML testing with CCO/CEO. Conduct FINRA branch-examinations. Assist the CCO during regulatory examinations (FINRA, SEC, CFTC/NFA). Develop and coordinate supervision of firm external and internal communications policies. Handle FINRA filings (e.g., U4/U5, Form BD). Control the annual Continuing Education Assessment (Firm Element). Review electronic communication, develop and assess systems/vendors analysis. Control employee-related requests and activities such as Outside Business Activities (OBA), conflicts of interest, and personal investments.
Requirements
- Bachelor’s degree in economics, finance, business administration, or a related field and two years of legal or compliance experience within a retail financial services business.
- Experience analyzing and interpreting complex legal and regulatory documents and developing effective compliance controls and monitoring routines.
- Experience with compliance procedures, due diligence process, counterparty risk assessment, background checks, internal policy analysis, branch inspections, communication monitoring, and trade surveillance.
- Proficiency with asset classes/compliance aspects pertaining to equity and fixed income securities, mutual funds and ETFs, and alternative investments.
- Experience in trade activity monitoring, including insider trading, spoofing, and marking the close.
- Experience in reviewing market activities, with focus on RegulationBestInterest (RegBI).
- Proficiency with AML regulatory framework knowledge, such as BSA, FinCEN (314a and 314b), and Suspicious Activity Reporting (SAR).
- Proficiency with FINRA guidelines pertaining to advertising and marketing review.
Responsibilities
- Monitor new regulatory mandates, rules, and requirements.
- Develop and maintain written supervisory procedures.
- Serve as the main point of contact with regulators, auditors, and attorneys.
- Ensure firm wide adherence to policies and procedures by working with the designated supervisors.
- Develop procedures to ensure compliance with all continuing education requirements for all registered representatives.
- Participate in creating a compliance plan and performing an annual compliance risk assessment.
- Coordinate the Annual Supervisory report and the Annual AML testing with CCO/CEO.
- Conduct FINRA branch-examinations.
- Assist the CCO during regulatory examinations (FINRA, SEC, CFTC/NFA).
- Develop and coordinate supervision of firm external and internal communications policies.
- Handle FINRA filings (e.g., U4/U5, Form BD).
- Control the annual Continuing Education Assessment (Firm Element).
- Review electronic communication, develop and assess systems/vendors analysis.
- Control employee-related requests and activities such as Outside Business Activities (OBA), conflicts of interest, and personal investments.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
