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

Hudson Manpower

Android Developer / Hybrid role in Houston, TX /ONLY US Citizens and GC Candidates apply Job at Hudson Manpower

 ...updated copy of your resume? Title : Android Developer Location : Hybrid role in Houston, TX.(1 Day Onsite 4days Remote) Terms : Long Term Contract ***ONLY US Citizens and GC Candidates can apply*** Payrate - $40/hr on W2 Top Skill set: Proficiency... 

New Mexico Gas Co - Peoples Gas - Tampa Electric

GIS Technician Job at New Mexico Gas Co - Peoples Gas - Tampa Electric

 ...list does not reflect the job duties in their entirety. Enters pipeline information and locations into GIS from as-built work order...  ...including parcels, streets, and addressing from digital and paper survey plats. Prepares cartographic maps for internal and external... 

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... 

NavitsPartners

Gen AI Engineer - AIENGG 25-34672 Job at NavitsPartners

 ...Job Title: Generative AI Engineer (Agentic Systems) Location: Richardson, TX Experience Level: Senior (8+ years total; 23+ years GenAI/AI in production) About the Opportunity Join a high-growth AI organization operating at the frontier of software development... 

Red Cat Holdings

Supply Chain Manager Job at Red Cat Holdings

 ...Position Summary The Supply Chain Manager is responsible for overseeing and optimizing all aspects of the supply chain, from procurement of raw materials to delivery of materials to production and manufacturing. This role ensures materials are available for production...