Senior Compliance Officer
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth Hybrid work schedule.
Responsibilities:
Risk and Compliance
- Conduct audits and testing of broker/dealer branch offices for their compliance of written policies and procedures
- Provide timely written reports to document findings and corrective actions to branch offices
- Track findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or changes to policy in order to meet regulatory obligations
- Assist, as needed, with regulatory audits by FINRA, SEC, and state insurance and securities regulators
- Investigate complex issues, including internal investigations and customer complaints, as needed
- Perform onboarding due diligence on prospective individuals wanting to affiliate with the firm
- Provide support to the Chief Risk & Compliance Officer, providing direction to the firm's compliance staff and working with legal counsel in dealing with regulatory agencies
- Keep current with federal and state laws and regulations, assisting with updating Wealth Solutions policies and procedures as requested
- Conduct due diligence, as needed, on business issues that impact the overall compliance programs of Wealth Solutions
Qualifications:
- Fluency in English and Spanish
- Securities Licenses: Series 7,24
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Found in: Appcast Linkedin GBL C2 - 2 weeks ago
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Compliance Officer
Found in: Appcast US C2 - 1 week ago
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Compliance Officer
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
Miami, United States Leeds Professional Resources Full timeResponsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document findings and corrective actions to branch officesTrack findings and delinquencies discovered during audits to discover trends and proactively suggest best practices or...
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Regulatory Compliance Officer
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
Miami, United States Leeds Professional Resources Full timeOur client is seeking a compliance officer to join their team! This role requires experience in financial services. ResponsibilitiesDevelop and implement an effective legal compliance programCreate sound internal controls and monitor adherence to themDraft and revise company policiesProactively audit processes, practices and documents to identify...
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Found in: Talent US C2 - 2 weeks ago
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Found in: Appcast Linkedin GBL C2 - 2 weeks ago
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Compliance Officer
Found in: Appcast Linkedin GBL C2 - 2 weeks ago
Miami, United States Leeds Professional Resources Full timeExciting opportunity for a Compliance Officer to join a strong broker-dealer headquartered here in Miami. Amazing opportunities for career growth! Hybrid work schedule.Responsibilities:Risk and ComplianceConduct audits and testing of broker/dealer branch offices for their compliance of written policies and proceduresProvide timely written reports to document...
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Found in: Jooble US O C2 - 2 weeks ago
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Miami, United States Barry University Full timeProvides admissions/academic advising to Pre-Nursing, Transfer, and Conditionally Accepted students. This position is also responsible for maintaining accurate and current data on student's health and regulatory status. Responsible for communicating with advisors, faculty, and clinical coordinators relating to the status of the student's health and...
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Found in: Appcast US C2 - 4 days ago
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