Compliance Officer Job at Larson Maddox, Miami, FL

K1NMVWh5ZTJ1WXAwYk5PZkdVc2s1bzhLR0E9PQ==
  • Larson Maddox
  • Miami, FL

Job Description

Compliance Analyst Responsibilities:

  • Manage day-to-day Compliance operations for the US office.
  • Assist with Compliance Monitoring for the Central Monitoring team in London.
  • Provide guidance on pre and post-trade Investment Compliance queries.
  • Support US and Canadian regulatory filings.
  • Collaborate with the broader Compliance team on various Compliance matters.
  • Advise on existing US regulations and implement new ones.
  • Draft, review, and maintain policies.
  • Assist in AML/KYC reviews.
  • Opportunity for training in the London office.
  • Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.

Compliance Analyst Qualifications:

  • Understanding of SEC rules related to the 1940 Act and regulatory filings.
  • Familiarity with SEC marketing rules and review processes.
  • 1-4 years of experience in compliance, operations, or related financial services.
  • Bachelor's degree from an accredited university or equivalent.

Desired, but not essential:

  • Interest in obtaining FINRA licensing (Series 7 and 24).
  • Understanding of various investment vehicle types.
  • Experience with equity strategies and ERISA Compliance.
  • Familiarity with Investment Compliance and guideline monitoring

Job Tags

Full time,

Similar Jobs

Decypher

Registered Nurse Labor & Delivery Job at Decypher

 ...support quality care for our veterans, servicemembers and their families, across the United States. Job Summary Labor and Delivery registered nurses to provide specialized care for pregnant, postpartum, and high-risk obstetric patients. L&D RN will be administering... 

SGS Consulting

Freight Coordinator Job at SGS Consulting

 ...Job Responsibilities: Enters customer orders in TMW Freight Software Confirms and updates all shipments Creates and send daily reports to management team Prepare required paperwork for billing purposes Create customer reports and contract Performs other... 

Liberty Personnel Services, Inc.

Legal Secretary - Temporary Consultant Job at Liberty Personnel Services, Inc.

 ...Job Details: Legal Secretary - Consultant 60+ day assignment Hamilton NJ Liberty Personnel is working with a multi office law firm client adding a Legal Secretary to their administrative support team. An ideal candidate will excel in afast-paced environment... 

Pearson Education Services

ES Teacher Certification Assessment Scorer - NY Job at Pearson Education Services

 ...professionally certified New York State teachers and recent retirees to score the constructed...  ...Physical Education Music Health Education Working as a scorer is an...  ...). Have the capability to meet via online meetings using a personal computer with web... 

Affinipay

Financial Analyst - Entry Level Job at Affinipay

 ...About the role: 8am is seeking a Financial Analyst to support the CFO and finance team with budgeting, forecasting, financial reporting, and analysis. This role is open to entry-level candidates with a Bachelors degree in Economics, Finance, Accounting, or a related...