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Senior Compliance Officer

4 months ago

Doral, United States Leeds Professional Resources Full time

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