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

Atria Physician Practice New York PC

Data Analyst, Data & Analytics Job at Atria Physician Practice New York PC

 ...and expand access to preventive care for as many people as possible. We're seeking a mid-level Data Analyst to join our Technology organization and support the...  ..., and strategic planning. Reporting & Analytics Design and maintain dashboards and reports that... 

EOI Space

Senior Flight Software Engineer Job at EOI Space

 ...an ambitious team that thrives on challenges, takes ownership, and collaborates deeply. EOI Space is looking for a Senior Flight Software Engineer. What you will do:~ Develop applications for the Bus Flight Software to interface to components and to safely... 

People Conquest

Maritime Security Guards (Cruise Ships) Job at People Conquest

NOW HIRING Maritime Security Guards (Cruise Ships)Immediate Embarkation | International Waters By PEOPLECONQUEST HR Recruitment Experts We are recruiting Maritime Security Guards for leading cruise lines. Responsibilities: Enforce and monitor the Ship Security... 

Domino's Franchise

Pizza Delivery Driver - up to $20 / hour Full/Part-time Job at Domino's Franchise

 ...you be more efficient which allows you to take more deliveries per hour than other delivery places, increasing your tips! Tips and mileage...  ...4pm-6pm and ending 8pm-10pm, 3-4 nights per week. Up to $20/ hour is wage, mileage, and tips combined. You may not make that... 

RSMC Services, Inc

Locum Tenens Pediatric Dentist - Mondays Only Job at RSMC Services, Inc

 ...Locum Tenens Pediatric Dentist Mondays Only Location: New City, NY Company: RSMC Services, Inc. (Dental-Only Staffing & Recruiting) Position Highlights Role: Locum Tenens Pediatric Dentist Schedule: Mondays, 8:00 AM 6:00 PM Dates Needed:...