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

Consultative Search Group

Accounting Manager Job at Consultative Search Group

 ...A prestigious business management firm seeks a Manager, Business Management to join their...  ...of the management team. Manage the accounting and business management team. Oversee...  ...third parties to which functions have been outsourced (payroll, systems, banking).... 

Tap Growth ai

Computational Pathology Scientist Job at Tap Growth ai

 ...We're Hiring: Computational Pathology Scientist! We are seeking a detail-oriented and innovative Computational Pathology Scientist to join our dynamic team. The ideal candidate will possess expertise in computational techniques applied to pathology, contributing to advancements... 

Rush Homes

Maintenance Technician I Job at Rush Homes

 ...turnover to include inspection, maintenance, replacement, and painting. Perform quarterly inspections of all units and accurately...  ...documentation. Work with property management on ensuring subcontractors have completed tasks as contracted. Supply reports on ground... 

Coons Franklin Lodge

Housekeeping Staff - Summer 2026 Job at Coons Franklin Lodge

 ...environment during their stay. Your duties will involve a variety of cleaning tasks aimed at upholding the high standards of our lodge's...  ...Fun Things to Do in the Area Music in The Park - Sunday Nights in Manitowish Big Top Chautauqua- Although a little bit far... 

Elevenlabs

Remote Customer Success - United States - Mid-Market Job at Elevenlabs

 ...ElevenLabs is a research and product company defining the frontier of audio AI. Millions of people use our technology to read articles, voice over videos, and restore voices lost to disability. Leading developers and enterprises worldwide use ElevenLabs to build intelligent...