Compliance and Onboarding Officer

Found in: Appcast Linkedin GBL C2 - 2 weeks ago

Miami, United States Creand Wealth Management (Beta Capital) Full time

Creand Wealth Management is looking for an experienced Compliance & Onboarding Officer for our Brickell office, to be responsible for assisting the Firm in executing the compliance program for the Broker-Dealer and Investment Advisory, as well as supporting the overall Compliance Department.

RESPONSIBILITIES

  • Provide ongoing support to the regulatory compliance program with various tasks and responsibilities including, but not limited to: purchase and sales blotter review consistent with Regulation Best Interest standards, review and surveillance of electronic communication activities and maintenance of various employee related requirements (e.g. personal securities accounts monitoring, outside business activities, gifts & gratuities).
  • Assist with the preparation of all regulatory filings including form ADV, CRS, U4, U5, and Form BD.
  • Assist in the development and administration of annual compliance training for business professionals.
  • Assist with the evaluation and testing of the supervisory and compliance programs and take necessary corrective action.
  • Assist third party consultants with their annual review of the broker-dealer and provide regulatory examination support.
  • Assist in the implementation and maintenance of Written Supervisory Procedures and help ensure the firm’s adherence.
  • Conducts account opening documentation review and validation, including KYC, information, source of funds, wealth, and adverse media searches and disposition, on new and existing clients.
  • Manage critical initial and ongoing client onboarding inquiries and activities such as: establishing identity, understanding the nature of client activities, risk classification and managing related notices to clients.
  • Conducts CIP procedures and due diligence as defined in the KYC and DD procedures manual.
  • Collaborate with Onboarding & Documentation related special projects assigned by unit manager.
  • Participate in initiatives to improve the client and account management process.
  • Assist in preparing reports for the Compliance and Management Committees.
  • Knowledge of BSA/Anti-Money Laundering/Terrorist Financing and applicable consumer regulations.

QUALIFICATIONS

  • Bachelor’s degree in Business Administration with concentration in Finance or related field.
  • 3 to 5 years of relevant work experience (broker-dealer experience is a big plus).
  • Must be willing to obtain FINRA Series that deem applicable.
  • Extensive knowledge within securities industry and investment products.
  • Thorough understanding of the Wealth Management business and organization.
  • Ability to work in a team environment, self-motivated and research capabilities.
  • Pro-active, detail-oriented and organized.
  • Excellent written and verbal communication skills.
  • Bilingual in both English and Spanish and communicates clearly and concisely, both orally and in writing.
  • High level of integrity, confidentiality and judgment.
  • Proactive and self-starter who is goal oriented.
  • Ability to multi-task and prioritize tasks.

Creand Wealth Management (Beta Capital) is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

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