Broker-Dealer Compliance Associate: Regulatory Risk

A leading broker dealer and RIA seeks a talented Compliance Associate for its expanding Miami branch. The role involves developing compliance policies, ensuring documentation for regulatory authorities, and conducting compliance reviews. Ideal candidates will have a Bachelor’s degree, at least 3 years of compliance experience, and significant knowledge of the regulatory environment. Licenses such as FINRA Series 7 and 24 are preferred.

This is an excellent opportunity for a motivated individual to grow their career in compliance.
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