Compliance Associate

4 weeks ago

Miami, United States Velox Clearing Full time

We are a clearing broker/dealer located in Miami, Florida in search of a Compliance Associate with 3-5 years of relevant experience working within the compliance department of a FINRA member firm. Preference will be given to applicants that have clearing firm experience and meet all required licensing and certifications.


DUTIES AND RESPONSIBILITIES

  • the Chief Compliance Officer, AMLCO, and Risk Manager in the development, maintenance, and management of the Firm’s compliance program pursuant to FINRA and SEC rules and regulations
  • the overall compliance efforts of the Chief Compliance Officer and AMLCO
  • in daily, bi-monthly and monthly FinCEN monitoring, OFAC screening, and other routine monitoring and reporting
  • the risk and surveillance team with trade surveillance and risk management efforts, tracking and follow-up of escalated matters
  • in responding to regulatory, internal and external inquiries
  • with client onboarding processing and due diligence reviews
  • in the development and delivery of the in-person annual compliance meeting
  • in various data protection, privacy and information security initiatives
  • maintain, and operate workflows to support the compliance program
  • the compliance team in the monitoring of employee communications, personal trading reviews and other compliance initiatives as assigned


QUALIFICATIONS

  • (3) to Five (5) years’ experience as a compliance professional supporting the compliance function at a FINRA member firm; knowledge of equity and options trading a plus
  • proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
  • and/or certification with Jira or similar work management software a plus
  • self-starter with a positive, can-do attitude; ability to engage proactively
  • organized with an the ability to effectively manage changing priorities
  • clean FINRA U4 and background is required for this position


License or Certification Requirements

  • Series 7 required
  • Series 24 preferred (or obtained within 1 year)

This position is a full-time onsite position located at our headquarters in Miami, FL. Salary is competitive, and medical, dental and vision benefits are included.Life, long-term disability and 401(k) options are available.

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