Compliance Analyst – Job Description
Our firm, a recently established Broker /Dealer fully owned by an international public listed financial conglomerate, is currently looking for a detail-oriented and knowledgeable Compliance Specialist to join our team. As a Compliance Specialist, you will be responsible for ensuring that our organization complies with all relevant regulations and laws. Your role will involve daily monitoring of activities to identify non-compliance issues and implementing corrective measures. You will work closely with various departments to develop and update policies and procedures, as well as provide training on compliance matters. Additionally, you will be responsible for conducting internal audits and investigations to identify potential risks and recommend preventive measures.
Responsibilities
- Monitor and assess regulatory changes and developments that affect the financial brokerage industry
- Develop and update compliance policies and procedures to ensure adherence to all applicable laws and regulations
- Ensure compliance with Anti-Money Laundering (AML), Know your Customer (KYC), and other industry-standard requirements.
- Conduct internal audits and inspections to identify potential compliance risks and improve the effectiveness of controls
- Investigate and respond to customer complaints and regulatory inquiries in a timely manner
- Provide guidance and training to employees on compliance-related issues
- Collaborate with other departments to develop and implement strategies to mitigate compliance risks
- Keep abreast of industry best practices and recommend improvements to internal processes and procedures
- Assist on the onboarding of new clients
· AML accounts monitoring
· Maintain accurate records of compliance activities, including audits, regulatory filings, and training records.
Requirements
- Bachelor's degree in finance, business administration, or a related field
- Proven experience working in compliance within the financial industry
- In-depth knowledge of regulatory frameworks and requirements
- Strong analytical and problem-solving skills
- Excellent attention to detail and ability to work independently
- Effective communication and interpersonal skills
- Proficient in Microsoft Office Suite and compliance software
- Professional certification such as Certified Regulatory Compliance Manager (CRCM) or Certified Anti-Money Laundering Specialist (CAMS) is a plus
· FINRA licenses SIE, Series 7, desirable Series 24 or ability to obtain in the first year
Benefits
We offer a competitive compensation package together with health, vision, life insurance and short- and long-term disability insurance. 401K with a matching contribution by the firm.
Location:
Miami, Florida