Retail Broker Dealer Compliance Associate

Our client is well-regarded broker dealer and RIA seeking to hire a top tier Compliance Associate to its rapidly growing Miami branch.

• 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

• 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.