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

V R Della Infotech Inc

Certified Surgical Tech (CST) Job at V R Della Infotech Inc

 ...patients, visitors, physicians, and co-workers in accordance with our Service Excellence Standards and Core Values. 2. Wears appropriate surgical attire. 3. Will have a working knowledge of sepsis and aseptic technique provided through orientation. 4. Checks cleaning supplies... 

Kroger.com - Milan

Overnight Crew Job at Kroger.com - Milan

 ...financial support with free counseling through our Employee Assistance Program and free, confidential financial tools and coaching with Goldman Sachs Ayco. Valuable associate discounts on purchases, including food, travel, technology and so much more. Up to $21,000 in... 

Walt Disney World Resort

Entertainment Stage Technician- Full Time/Part Time, Walt Disney World Job at Walt Disney World Resort

 ...will have the experience of watching Guests react as they are transported by live shows, parades, and spectaculars across the Walt Disney World Resort. As an Entertainment Stage Technician, you will install, operate, and maintain the lighting, audio, props, video, pyrotechnics... 

World Equestrian Center

Socia Media Manager Job at World Equestrian Center

 ...Job Summary: The Social Media Manager is responsible for developing and executing dynamic digital content strategies that elevate the World Equestrian Centers brand across all resort experiencesincluding hospitality, dining, retail, wellness, and events. This role manages... 

Framework Construction Recruiting

Construction Superintendent - Multifamily Job at Framework Construction Recruiting

 ...Lead Multifamily Superintendent - Orlando Compensation: $100K-130k Travel: Traveling position Overview Our client is a well...  ...field operations from start to finish, ensuring high-quality construction, safety, and schedule performance across multiple job sites....