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Regulatory Compliance Specialist

2 months ago

Miami, United States Leeds Professional Resources Full time

Exciting 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 Management

  • Perform audits and evaluations of broker/dealer branch offices to ensure adherence to established policies and procedures.
  • Generate timely written reports to document findings and corrective measures for branch offices.
  • Monitor findings and issues identified during audits to identify trends and proactively recommend best practices or policy modifications to comply with regulatory requirements.
  • Assist with regulatory examinations conducted by FINRA, SEC, and state insurance and securities authorities as necessary.
  • Investigate intricate matters, including internal inquiries and customer grievances, as required.
  • Conduct due diligence during the onboarding process for prospective individuals seeking affiliation with the firm.
  • Support the Chief Risk & Compliance Officer by guiding the compliance team and collaborating with legal advisors in interactions with regulatory bodies.
  • Stay informed about federal and state laws and regulations, aiding in the revision of Wealth Solutions policies and procedures as needed.
  • Perform due diligence on business matters that affect the overall compliance initiatives of Wealth Solutions.

Qualifications:

  • Bachelor's degree in Finance, Business Management, or a related field.
  • A minimum of 3 years of progressively responsible experience in a related role.
  • Possession of Securities Licenses: Series 7, 24.