Compliance Analyst

24 hours ago

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

Creand Wealth Management is looking for a professional responsible to join the team and for assisting the Firm in executing the compliance program for the broker-dealer and Investment Advisory, as well as supporting the overall Compliance department. Additionally, you will participate in the development of challenging new processes and the implementation of amending present processes.


MAIN RESPONSABILITIES


  • Review of transactions by conducting suitability/best interest reviews of recommendations as well as ensuring submission of proper documentation that supports the recommendation.
  • Monitor daily reports, trade blotter and ad-hoc reports.
  • Field calls from Brokers and internal business partners,
  • Working knowledge and application of suitability rule 2111 and Regulation Best Interest (Reg BI).
  • Support compliance monitoring and electronic communications surveillance programs, including the escalation and remediation of violations.
  • Monitor supervisory control systems related to personal trading accounts, employee gifts, received and given, political contributions, etc.
  • Maintain the operating licenses of the broker-dealer and its lending affiliates by managing reporting and filing obligations with various regulatory bodies at the state, federal and foreign levels.
  • Build relationships within the broker-dealer and its affiliates, coordinate with other relevant functional groups including legal, finance, operations and client services on various matters.
  • Assist with the evaluation and testing of the supervisory and compliance programs and take necessary corrective action.
  • Assist with third party consultant examinations and provide regulatory examination support.
  • Assist maintenance of Written Supervisory Procedures and help ensure the firm’s adherence.
  • Assist in the administration of annual compliance training for business professionals.
  • Administer registered personnel periodic attestations
  • Working knowledge of regulatory filings including form ADV, CRS, U4, U5, etc.


QUALIFICATIONS


  • 3-5 years experience conducting suitability reviews of broker-dealer
  • Experience with Surveillance, Conflicts of Interest and/or Anti-Money Laundering.
  • FINRA Series 7 required. Series 24 a plus.
  • Experience and understanding of regulatory landscape
  • Strong technology skills, with ability to learn various new platforms.
  • Thorough understanding of FINRA and SEC Rules
  • Strong relationship management skills.
  • High level of integrity, confidentiality and judgment.
  • Complex problem solver who can thrive amidst ambiguity.
  • Self-starter and proactive
  • Proficiency in Microsoft Suite products, specifically MS Excel


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

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