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

Eye Designs Group

Cabinet Maker Job at Eye Designs Group

 ...About the Job Eye Designs is looking for an experienced cabinetmaker (4+ years) who is skilled in construction and production of cabinets, wall systems, and other custom interior fixtures. This position will have responsibility for making custom cabinets to client... 

Public Utilities Commission

ATTORNEY, ASSISTANT CHIEF COUNSEL Job at Public Utilities Commission

 ...mentioned areas. The AGC-Government Law will also supervise a team of Legal Analysts and a Legal Support Supervisor, who manages a team of...  ...who completed their education outside the United States (with foreign degrees/transcripts) must obtain and submit verification of... 

Guidehouse

Business Analyst, RPA Job at Guidehouse

 ...Center of Excellence (CoE). The CoE is a unique team within Guidehouse, focusing on solving our clients most critical challenges using RPA, Microsoft Power Platform, and AI. The CoE works on a wide variety of projects; from helping clients get started on their automation... 

ECMD, Inc.

District Service Manager Job at ECMD, Inc.

 ...Clifton Moulding Co., Madison Lumber Company, and Falls City Lumber Company. Job Duties & Responsibilities The District Service Manager is responsible for organizing, coordinating, and monitoring the activities of the Territory Service Representatives. The District... 

ProPivotal Staffing

Bilingual Customer Service Rep (Hybrid $22/hr) Job at ProPivotal Staffing

 .../hour Hybrid: 2 days per week on-site and 3 days per week work-from-home Impactful Work: Help families access crucial childcare assistance...  ...data integrity Requirements: Bi-lingual Required (Spanish, Portuguese, or Creole) plus English At least 1 year...