Regulatory Compliance Associate

1 month ago


Doral, United States Leeds Professional Resources Full time

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

  • Bachelors 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 Authoritys 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


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