Compliance Officer Position Available In Miami-Dade, Florida
Tallo's Job Summary: Global, proprietary trading firm seeks a Compliance Officer in Miami, FL with a salary of $150,000 - $200,000. Responsibilities include providing compliance guidance, developing surveillance reports, and responding to regulatory inquiries. Requirements: 3-7+ years of compliance experience, knowledge of electronic trading, and familiarity with FINRA, US exchange, and SEC rules. Onsite position with relocation package available.
Job Description
LOCATION
Miami, FL
SALARY
$150,000
–
$200,000
EMPLOYMENT TYPE
Direct Hire
CATEGORY
Finance
DIVISION
Career Group Search
Compliance Officer
Global, proprietary trading firm is seeking a Compliance Office to join its Miami office. In this role, you will work closely with the Trading, Legal, Risk, Finance, and Technology teams by providing expert compliance support. The firm offers an exciting and dynamic work environment, where employees are given the freedom to come up with great ideas and the space to push these to completion.
We’re seeking an experienced compliance officer who will add value by playing a crucial role in ensuring our business operates and grows in accordance with US exchange rules, regulations, and applicable laws. This will involve regulatory filings, responding to regulatory inquiries, trade surveillance, monitoring, and overseeing control function activities to verify the firm remains compliant in a time-sensitive environment.
The regulatory landscape of our business is complex and evolving. The compliance officer will help review and interpret new rules, educate colleagues on changes, and update firm policies and procedures. This will require strong people skills and the ability to explain processes clearly to individuals in various departments.
Compensation:
$150-200K base plus discretionary bonus. Relocation package offered when moving across states, including temporary housing upon arrival and coverage of moving costs.
Responsibilities:
Provide compliance guidance and regulatory interpretations to business units
Develop and perform surveillance and compliance report reviews
Develop and maintain compliance policies and procedures
Assist in responding to regulatory exams and inquires
Organize and provide training for broker-dealer employees
Assist on cross functional projects with other business units such as Risk, Finance, Mid-Office, and IT Operations
Contribute to identify and assess compliance risks associated with broker-dealer business and operations
Requirements:
3 to 7+ years of relevant work experience in a regulatory compliance role with a financial services firm or exchange
Bachelor’s Degree
Working knowledge of electronic trading in a variety of asset classes, including equities and index options
Experience interpreting and maintaining compliance within
FINRA, US
exchange, and SEC rules
Ability to write and review internal policies and Supervisory Procedures
Strong analytical and research skills
Ability to work both independently and within a team of employees from multiple departments
Strong verbal and written communication skills
Experience and strong interest in developing and optimizing Compliance processes and frameworks
This role is onsite 5 days/week in Miami, FL (Brickell).
Please submit your resume for consideration!
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