SEC Compliance Associate
7 days ago
We are seeking a compliance individual who is to join an exciting client of ours who is growing and expanding their headcount. Looking for someone who is experienced in SEC compliance regulations and procedures.
Responsibilities
- Stay current with SEC regulations, industry standards, and applicable laws to ensure company compliance, including the development, implementation, and maintenance of relevant policies and procedures.
- Manage third-party service providers to ensure the collection of Code of Ethics attestations, certifications, and the review of electronic communications.
- Ensure that all investor communications, marketing materials, and disclosures are fully compliant with securities laws.
- Collaborate with the Chief Compliance Officer to conduct regular risk assessments, reviews, and testing, ensuring the effective implementation of policies and procedures through ongoing surveillance, monitoring, examinations, and mock audits.
- Work across departments to coordinate the preparation and submission of regulatory filings, maintain comprehensive records and reports for regulators and auditors, and prepare documentation for regulatory reviews and mock examinations.
- Lead ongoing training programs and provide expert guidance on compliance matters, while establishing internal controls to detect and prevent compliance violations and promoting a culture of compliance throughout the organization.
- Investigate and address compliance-related issues, reporting significant findings and corrective actions to the Chief Compliance Officer and senior management.
Requirements
- 3+ years of experience within compliance working with SEC regulations and in a private equity, hedge fund, or corporate law
- Bachelor's degree in related field - Finance, Business Admin, Compliance, Operations or Economics
- Excellent written and oral communications
- Strong knowledge and understanding of SEC regulations and policies
-
Chief Compliance Officer
1 hour ago
Doral, Florida, United States Larson Maddox Full timeAbout Larson MaddoxLarson Maddox is a leading investment management firm seeking a seasoned Chief Compliance Officer to oversee the regulatory aspects of our infrastructure investing activities.Key Responsibilities:Oversee the SEC registration process for our new investment adviser focused on infrastructure, including filing Form ADV.Develop and implement a...
-
Regulatory Compliance Associate
1 month ago
Doral, 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. Responsibilities Liaise with all relevant departments to ascertain current compliance levels. Provide training and education to team members regarding regulatory...
-
Auditor of IT Controls and Compliance
2 weeks ago
Doral, United States Lennar Homes Full timeWe are Lennar Lennar is one of the nation's leading homebuilders, dedicated to making an impact and creating an extraordinary experience for their Homeowners, Communities, and Associates by building quality homes and providing exceptional customer service, giving back to the communities in which we work and live in, and fostering a culture of opportunity...
-
Compliance Business Systems Analyst
2 weeks ago
Doral, United States Lennar Homes Full timeIt's fun to work in a company where people truly BELIEVE in what they are doing! We're committed to bringing passion and customer focus to the business. Summary of Position: The Privacy & Business Analyst role reports to the Lennar Technology Group, Privacy IT Manager on the Controls & Compliance Team. The role is responsible for managing and processing Data...
-
Sr. Compliance
1 week ago
Doral, United States Visa Full timeCompany Description Visa is a world leader in payments and technology, with over 259 billion payments transactions flowing safely between consumers, merchants, financial institutions, and government entities in more than 200 countries and territories each year. Our mission is to connect the world through the most innovative, convenient, reliable, and secure...
-
Financial Reporting Analyst
4 weeks ago
Doral, United States Interpublic Group Full timePOSITION SUMMARY: The Financial Reporting will be responsible for assisting in the monthly consolidation close process, performing extensive financial statement analyses, assisting in the preparation and review of the Controller’s Book as well as reviewing schedules related to SEC disclosures including footnotes, MD&A and the Cash Flow Statement. ESSENTIAL...
-
Financial Reporting Specialist
2 weeks ago
Doral, Florida, United States Interpublic Group Full timePOSITION OVERVIEW:The Financial Reporting Specialist will play a crucial role in supporting the monthly consolidation closing activities, conducting comprehensive financial statement evaluations, aiding in the formulation and assessment of the Controller's Book, and reviewing schedules pertinent to SEC disclosures, including footnotes, Management's...
-
Sales Associate
4 weeks ago
Doral, United States Ann Taylor Full timeAbout us Ann Taylor embodies and celebrates the spirit, heritage, and confidence of American women leading the lives they love. Since its beginnings, Ann Taylor has been committed to providing women with everything they need to feel inspired and motivated as they navigate their multifaceted lives. Our effortlessly polished styles are thoughtfully designed to...
-
Senior Tax Associate
3 weeks ago
Doral, United States Lennar Mortgage Full timeIt's fun to work in a company where people truly BELIEVE in what they are doing! We're committed to bringing passion and customer focus to the business. The Senior Tax Associate will work closely with the team members, managers, and tax directors in the preparation of federal and state, corporate and partnership tax returns, quarterly estimated payments, and...
-
Director, Tax Operations
2 weeks ago
Doral, United States CFA Institute Full timeCircle is a financial technology company at the epicenter of the emerging internet of money, where value can finally travel like other digital data - globally, nearly instantly and less expensively than legacy settlement systems. This ground-breaking new internet layer opens up previously unimaginable possibilities for payments, commerce and markets that can...
-
Client Services Associate
3 weeks ago
Doral, United States Creand Wealth Management (Beta Capital) Full timeAbout the Company: Creand Wealth Management is looking for a Client Service Associate to join the team at our Miami office (Brickell). Creand (Beta Capital) Wealth Management was founded in 1995 in Miami as broker dealer and investment advisory firm specializing in providing investment advice and trade execution services to individual and institutional...
-
Sales Associate
3 weeks ago
Doral, United States Karl Storz Endoscopy-America Full timeI. Job Purpose - This role will cover Sales Support in the Miami, FL area. Our Sales Associate is an entry level sales position with KARL STORZ Endoscopy-America, Inc. (“KSEA”). This position reports to the Region Sales Associate Manager with a dotted line to the local Sales market team (1-4 Sales Executives). This position takes direction from the...
-
Retail Sales Associate
2 weeks ago
Doral, Florida, United States Finish Line Full timeWe are seeking committed individuals to enhance our customer service experience at Finish Line stores.Position Title: Store AssociateOverview: This role involves engaging in sales and providing exceptional customer service through various responsibilities.Key Responsibilities:- Execute sales and customer service tasks effectively.- Handle cashier duties,...
-
Clinical Associate Professor in Cardiology
2 weeks ago
Doral, Florida, United States University of Miami Full timePosition Overview:The University of Miami is seeking a qualified individual for the role of Clinical Associate Professor in Cardiology. This position involves significant responsibilities in the development and management of the Adult Heart Transplant and Ventricular Assist Device (VAD) program.Key Responsibilities:Collaborate with the Surgical Director of...
-
Sales Associate
3 weeks ago
Doral, United States Karl Storz Endoscopy-America Full timeI. Job Purpose - This role will cover Sales Support in the Miami, FL area. Our Sales Associate is an entry level sales position with KARL STORZ Endoscopy-America, Inc. (KSEA). This position reports to the Region Sales Associate Manager with a dotted line to the local Sales market team (1-4 Sales Executives). This position takes direction from the Region...
-
Seasonal Retail Sales Associate
2 weeks ago
Doral, Florida, United States PVH Corp. Full timePosition OverviewAs a Temporary Sales Associate for CALVIN KLEIN, you will play a crucial role in driving sales and delivering exceptional customer service. Your responsibilities will include maintaining store aesthetics, ensuring merchandise availability, and minimizing losses.Key ResponsibilitiesUphold visual merchandising standards that align with the...
-
Large Bank Internal Auditor Manager
1 week ago
Doral, United States Crowe Full timeYour Journey at Crowe Starts Here: At Crowe, you have the opportunity to deliver innovative solutions to today's complex business issues. Crowe's accounting, consulting, and technology personnel are widely recognized for their in-depth expertise and understanding of sophisticated process frameworks and enabling technologies, along with their commitment to...
-
Client Services Associate
8 hours ago
Doral, Florida, United States Creand Wealth Management (Beta Capital) Full timeAbout the CompanyCreand Wealth Management (Beta Capital) is a leading financial services firm specializing in investment advice and trade execution services to individual and institutional investors. With a strong presence in the Miami market, we are committed to providing exceptional client service and support.About the RoleWe are seeking a highly skilled...
-
Doral, Florida, United States University of Miami Health System Full timeJob SummaryWe are seeking a highly qualified and experienced Associate Professor of Clinical, Generalist Division Chief to join our team at the University of Miami Health System. The successful candidate will be responsible for leading the Generalist Division of Obstetrics and Gynecology, providing clinical and research leadership, and mentoring junior...
-
Patient Access Associate
2 weeks ago
Doral, United States University of Miami Full timeCurrent Employees: If you are a current Staff, Faculty or Temporary employee at the University of Miami, please click 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 . **** $1,000 Sign On Bonus **** The Patient Access department has an...