COMPLIANCE OFFICER

/

SPECIALISTLocation:

Miami, FL(On-site)Company DescriptionA leading financial services firm and fully owned subsidiary of a global financial group connects individuals and businesses with global investment opportunities, offering personalized advice and direct access to international financial markets. The firm focuses on solutions designed to preserve and grow client wealth through tailored strategies.

As a Broker/Dealer member of FINRA and SIPC, the company operates under strict regulatory standards to help ensure the protection and security of client investments. The company values professionalism, integrity, and a client-centric approach.

Role DescriptionThe Compliance Officer / Specialist is a full-time, on-site role based in Miami, FL, responsible for overseeing and supporting the firm's adherence to applicable laws, regulations, and internal policies.

Day-to-day responsibilities include monitoring regulatory changes, maintaining and updating compliance frameworks and Written Supervisory Procedures (WSPs), conducting internal reviews, and preparing reports for management.

The role involves supporting audits and examinations, reviewing client documentation and transactions for compliance risks, and ensuring accurate recordkeeping. The Compliance Officer / Specialist will also assist in developing and delivering compliance training, respond to compliance-related inquiries, and collaborate with internal teams to address potential issues proactively.

ResponsibilitiesMonitor and assess regulatory changes and developments that affect the financial brokerage industryUpdate the Written Supervisory Procedures (WSPs) as neededDevelop and update compliance policies and procedures to ensure adherence to all applicable laws and regulationsEnsure compliance with Anti-Money Laundering (AML), Know Your Customer (KYC), and other industry-standard requirementsConduct internal audits and inspections to identify potential compliance risks and improve the effectiveness of controlsInvestigate and respond to customer complaints and regulatory inquiries in a timely mannerProvide guidance and training to employees on compliance-related issuesCollaborate with other departments to develop and implement strategies to mitigate compliance risksKeep abreast of industry best practices and recommend improvements to internal processes and proceduresAssist with the onboarding of new clientsConduct AML account monitoringMaintain accurate records of compliance activities, including audits, regulatory filings, and training recordsQualificationsStrong skills in Compliance Management and Regulatory Compliance, including experience implementing and monitoring compliance programsSolid analytical skills and finance knowledge to interpret regulations, analyze data, and assess risk within investment and advisory activitiesEffective communication skills to prepare clear reports, policies, and guidance, and to collaborate with regulators, management, and internal teamsRelevant experience in a broker-dealer within FINRA-regulated entitiesBachelor's degree in Finance, Law, Business, or a related fieldProfessional certifications in compliance or securities regulation, such as CRCM or CAMS, are a plusDemonstrated attention to detail, integrity, and ability to work independently in a highly regulated and deadline-driven environmentFluency in Spanish and EnglishFINRA licenses: SIE and Series 7Series 24 is desirable, or the ability to obtain it within the first yearBenefitsThe company offers a competitive compensation package together with:

Health insuranceVision insuranceLife insuranceShort- and long-term disability insurance401(k) with a matching contribution by the firm