![Leeds Professional Resources](https://media.trabajo.org/img/noimg.jpg)
Regulatory Compliance Specialist
2 months ago
We are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.
Responsibilities
- Liaise with all relevant departments to ascertain current compliance levels.
- Provide training and education to team members regarding regulatory compliance.
- Ensure that all team members are aware of the procedures to be followed to adhere to compliance requirements.
- Conduct regular audits in all required areas to ascertain compliance levels.
- Develop and implement compliance improvement plans where required.
- Keep up to date with industry standards.
- Delegate tasks to other departments to bring compliance levels up.
- Make reports, where necessary, to the governing body.
- Assist Regulatory Authorities with completing site visits and external audits.
- Prepare for, and conduct audits alongside external authorities.
Requirements
- Bachelor’s degree or above in Business Administration, Aviation, or other related field
- At least 2 years of hands-on experience within a compliance-focused role
- Demonstrated knowledge of the Regulatory Authority’s policies, processes, and procedures
- Experience in auditing and recording information
- Excellent attention to detail and analysis abilities
- Good communication skills, both written and verbal
- Highly organized and capable of prioritizing own workload
- Well-developed delegation skills
- Excellent problem-solving abilities
- Proficient with computer programs such as Microsoft Office
-
Regulatory Compliance Specialist
2 months ago
Miami, United States Leeds Professional Resources Full timeWe are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.ResponsibilitiesLiaise with all relevant departments to ascertain current compliance levels.Provide training and education to team members regarding regulatory...
-
Regulatory Compliance Specialist
7 days ago
Miami, United States Leeds Professional Resources Full timePosition Overview:As a Regulatory Compliance Specialist at Leeds Professional Resources, you will be instrumental in ensuring that our organization meets all legal standards and internal policies. Your role will involve overseeing compliance across various departments, guaranteeing that our operations align with legal requirements and internal protocols....
-
Regulatory Compliance Associate
4 weeks ago
Miami, United States Leeds Professional Resources Full timeWe are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our clients team. This role requires fluency in English and Spanish, and FINRA licensing is a plus. Responsibilities Liaise with all relevant departments to ascertain current compliance levels. Provide training and education to team members regarding regulatory...
-
Regulatory Compliance Specialist
7 days ago
Miami, United States Leeds Professional Resources Full timeExciting Opportunity: A prominent role for a Compliance Officer is available within a reputable broker-dealer. This position offers remarkable prospects for professional advancement with a flexible work arrangement.Key Responsibilities:Risk and Compliance ManagementPerform audits and evaluations of broker/dealer branch offices to ensure adherence to...
-
Regulatory Compliance Associate
1 month ago
Miami, United States Citi Full timeWe are seeking a Regulatory Compliance Specialist with experience from a broker-dealer to join our client's team. This role requires fluency in English and Spanish, and FINRA licensing is a plus.ResponsibilitiesLiaise with all relevant departments to ascertain current compliance levels.Provide training and education to team members regarding regulatory...
-
Regulatory Compliance Analyst
7 days ago
Miami, United States Leeds Professional Resources Full timeWe are looking for a Regulatory Compliance Analyst with a background in broker-dealer operations to support our client's compliance initiatives. Proficiency in both English and Spanish is essential, and having FINRA licensing will be advantageous.Key ResponsibilitiesCollaborate with various departments to evaluate current compliance standards.Facilitate...
-
Regulatory Compliance and Risk Analyst
7 days ago
Miami, Florida, United States Miami Beach Medical Group Full timeJob OverviewThe Regulatory Compliance and Risk Oversight Specialist plays a crucial role in supporting the Compliance Manager in the development and execution of Compliance and Risk Management Programs. This position ensures adherence to relevant local, state, and federal regulations, as well as industry standards.Key Responsibilities:Assist in the...
-
Sr. Regulatory Specialist
2 weeks ago
Miami, Florida, United States UOMUOMUS Full timeCurrent Employees:If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click here to log in to Workday to use the internal application process. To learn how to apply for a faculty or staff position using the Career worklet, please review this tip sheet.The department of Psychiatry has an exciting opportunity for a...
-
Senior Regulatory Compliance Associate
3 weeks ago
Miami, United States Ascendo Resources Full timeKey Responsibilities:Regulatory Adherence: Support the Bank in maintaining compliance with consumer and general regulations, ensuring alignment with statutory requirements.Ongoing Monitoring: Conduct regular reviews of consumer and regulatory regulations to ensure ongoing compliance and address any issues that arise.Compliance Guidance: Provide assistance...
-
Senior Regulatory Compliance Associate
3 days ago
miami, United States Ascendo Resources Full timeKey Responsibilities:Regulatory Adherence: Support the Bank in maintaining compliance with consumer and general regulations, ensuring alignment with statutory requirements.Ongoing Monitoring: Conduct regular reviews of consumer and regulatory regulations to ensure ongoing compliance and address any issues that arise.Compliance Guidance: Provide assistance...
-
Senior Regulatory Compliance Associate
3 weeks ago
Miami, United States Ascendo Resources Full timeKey Responsibilities:Regulatory Adherence: Support the Bank in maintaining compliance with consumer and general regulations, ensuring alignment with statutory requirements.Ongoing Monitoring: Conduct regular reviews of consumer and regulatory regulations to ensure ongoing compliance and address any issues that arise.Compliance Guidance: Provide assistance...
-
Senior Analyst
4 weeks ago
Miami, United States Nium Full timeWhat would a day @ Nium look like? Develop and maintain policies and procedures to ensure compliance with relevant regulations and industry standards, including reviewing and updating existing policies as necessary Prepare and submit internal and external reporting such as internal MI and regulatory filings to the regulator, ensuring accuracy and timeliness,...
-
Regulatory Compliance Analyst
3 months ago
Miami, United States Educational Federal Credit Union Full timeJob Summary: The Compliance Analyst's primary function is to ensure Educational Federal Credit Union's compliance with all applicable regulatory requirements. This position coordinates compliance initiatives with other departments in accordance with business plans, ensures compliance management is tracked centrally, and acts as liaison with various business...
-
Regulatory Compliance Analyst
3 months ago
Miami, United States Educational Federal Credit Union Full timeJob Summary: The Compliance Analysts primary function is to ensure Educational Federal Credit Unions compliance with all applicable regulatory requirements. This position coordinates compliance initiatives with other departments in accordance with business plans, ensures compliance management is tracked centrally, and acts as liaison with various business...
-
Regulatory Compliance Analyst
3 months ago
Miami, United States Educational Federal Credit Union Full timeJob DescriptionJob DescriptionJob Summary:The Compliance Analyst's primary function is to ensure Educational Federal Credit Union's compliance with all applicable regulatory requirements. This position coordinates compliance initiatives with other departments in accordance with business plans, ensures compliance management is tracked centrally, and...
-
Landscape Compliance Specialist
1 week ago
Miami, United States Bureau Veritas North America Full timeCompany: Bureau Veritas North AmericaPosition Overview: We are seeking a knowledgeable Landscape Compliance Specialist to join our team. This role is essential in ensuring adherence to landscaping regulations and standards.Key Responsibilities: - Provide expert guidance and support to field inspectors in the enforcement of landscaping codes. - Conduct...
-
Compliance Specialist
1 month ago
Miami, Florida, United States Delaware North at Gamewise Full timeThe Opportunity Delaware North Gaming is hiring a Compliance Specialist to join our team at Gamewise. As a Compliance Specialist, you will work fully remote and be responsible for ensuring that all casino operations adhere to regulatory standards. If you are looking for a role that allows you to leverage your expertise in regulatory compliance, safeguard the...
-
Tax Compliance Specialist
2 days ago
Miami, United States World Fuel Services Full timeJob Title: Tax Compliance SpecialistWe are seeking a highly skilled Tax Compliance Specialist to join our team at World Fuel Services, a global leader in the industry.This is a unique opportunity to play a crucial role in supporting federal, state, and local tax compliance across all World Fuel Services entities. As a Tax Compliance Specialist, you will be...
-
Miami, Florida, United States Miami Beach Medical Group Full timeJob OverviewThe Regulatory Compliance and Risk Assessment Expert plays a crucial role in supporting the Compliance Manager in the formulation and execution of Compliance and Risk Management initiatives. This position ensures adherence to relevant local, state, and federal regulations, as well as industry benchmarks.Key Responsibilities:Assist in the design,...
-
Regulatory Specialist
1 month ago
Miami, Florida, United States Lennar Homes Full timeIt's fun to work in a company where people truly BELIEVE in what they are doingWe're committed to bringing passion and customer focus to the business.We are Lennar Mortgage Lennar Mortgage is centered around personal growth, innovation, and diversity. We are looking for a new team member who shares our passion and dedication to bringing homeownership to...