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

BeloForm Craft

Event Staff Job at BeloForm Craft

 ...with a strong sense of identity and purpose. Job Description We are currently seeking motivated and detail-oriented Event Staff to support the planning and execution of events in Atlanta, GA. This role is ideal for individuals who enjoy dynamic environments... 

Verizon

Consultant Job at Verizon

 ...Verizon, we power and empower how people live, work and play by connecting them to what...  ...What were looking for You are a true consultative salesperson, who is energized by meeting...  ...In this remote role, you'll work from home with occasional in-person trainings and meetings... 

Compose.ly

Freelance B2B Writer - Governance, Sustainability & ESG Job at Compose.ly

 ...Compose.ly is looking for experienced freelance writers to produce B2B content on corporate governance, board technology, and sustainability...  ..., authoritative articles for executive-level audiences. You'll write content that helps corporate directors, general counsel, and... 

The Semler Agency

Entry-Level Financial Services Associate Job at The Semler Agency

 ...as typical, average or expected. Not all agents achieve the same or similar results, and no particular results are guaranteed. Your level of success will be determined by several factors, including the amount of work you put in, your ability to successfully follow and implement... 

DSV - Global Transport and Logistics

Freight Forwarder - Ocean Import Job at DSV - Global Transport and Logistics

 ...customers. Read more at Location: USA - Plainfield, 2363 East Perry Road Division:Air & Sea Job Posting Title: Freight Forwarder - Ocean Import Time Type: Full Time Summary The primary duty of a Freight Forwarder is to review and process shipment...