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

First Heritage Mortgage

Digital Content Specialist Job at First Heritage Mortgage

 ...Marketing Department. This position will drive the SEO, digital media, and content marketing strategies that attract new business and...  ...Maintain and optimize a strategy for all FHM content to include social posts, blogs, videos, seasonal and/or market-driven communications... 

Tutor Me Education

SPED and Spanish Tutor (Remote) Job at Tutor Me Education

 ...Tutor Me Education is reshaping how students learn. We are looking for teachers and tutors with virtual tutoring experience to provide...  ...Requirements Job requirements: Previous tutoring/teaching Spanish experience highly preferred Previous experience with... 

Rincon Consultants, Inc

Environmental Field Scientist Job at Rincon Consultants, Inc

 ...arrangements that can include a mix of in-office and remote work, our changing business needs will ultimately determine our level of remote-...  ...as transportation, energy and infrastructure, sustainability, climate change, oil and gas, water, commercial, private development,... 

Northeast Healthcare Recruitment, Inc.

Locums Emergency Medicine Physician Job at Northeast Healthcare Recruitment, Inc.

 ...Certified or Board-Eligible Emergency Medicine Physician for a locum tenens opportunity in Inverness, Florida. Join a well-supported,...  ...admissions and inpatient careDesignated Stroke Center with tele-neurology currently being implementedHigh acuity adult volume with... 

Openkyber

Salesforce Business Analyst Job at Openkyber

 ...Salesforce Business Analyst . ~ Strong understanding of Salesforce Sales Cloud, Service Cloud, Reports & Dashboards, and standard CRM processes. ~ Ability to work in Agile/Scrum environments. ~ Experience writing user stories, BRDs, FRDs , and process...