Compliance Associate – Broker Dealer Position Available In Miami-Dade, Florida
Tallo's Job Summary: The Compliance Associate - Broker Dealer position involves assisting in data gathering, report assembly, and maintaining accurate records for compliance leadership. The role requires a Bachelor's degree and obtaining FINRA SIE and Series 7 within six months. Strong attention to detail, communication skills, and time management are essential. The position involves collaborating with compliance team members and monitoring trading activities.
Job Description
General Responsibilities:
Assist in gathering data and assembling key reports for senior-level compliance leadership. Help maintain accurate records and documentation for licensed personnel in accordance with regulatory requirements. Contribute to internal audits, team projects, and various compliance initiatives as needed. Support the onboarding and registration process for new team members, including conducting appropriate background checks. Collaborate with compliance team members on communication reviews and education efforts across departments. Participate in monitoring employee trading activities and identifying potential concerns. Aid in periodic updates and maintenance of internal compliance materials and account documentation.
Qualifications:
Bachelor’s degree required. Must be able to obtain FINRA SIE and Series 7 within six months of employment. Strong attention to detail with a proactive mindset and problem-solving abilities. Solid interpersonal and written communication skills across all organizational levels. Able to manage time effectively and adapt in a deadline-driven environment. Comfortable working independently while maintaining discretion and confidentiality. Skilled in using Microsoft Office applications. Proven ability to balance multiple priorities efficiently and stay organized under pressure.
