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

Dandy

3D Printing & Removables Team Lead - Night Shift Job at Dandy

 ...world-class support to achieve more for their practice, their people, and their patients. About the Role We are looking for a 3D Printing & Removables Team Lead who will be responsible for managing technicians, operating and maintaining equipment and to ensure that... 

American Red Cross

Blood Collection CDL Driver Job at American Red Cross

 ...We provide Paid-Training no prior medical experience required. Joining The American Red Cross is like nothing else its as much...  ...Overview): When you join our team you will be utilizing your CDL and customer service skills to assist with every step of the blood... 

Neotecra INC

Front End Web Developer Job at Neotecra INC

Front End Web Developer Location New York, NY (Financial District area) : JOB SUMMARY: The qualified candidate will be working in the Revenue...  ...sessions and routine status stand-ups. Provide accurate level-of-effort time estimates and provide recommendations for feature... 

BlueCross BlueShield of South Carolina

Stop Loss Accounting Analyst (Work from Home) Job at BlueCross BlueShield of South Carolina

Stop Loss Accounting Analyst (Work from Home) Location Remote in Richland County, SC : Summary Planned Administrators (PAI) is a subsidiary...  ...Location and Hours: Work Hours: 8:00 am to 5:00 pm Monday through Friday. Position will be work from home. To work from home,... 

INTERNATIONAL STAFFING CONSULTANTS

Tax Senior Manager Job at INTERNATIONAL STAFFING CONSULTANTS

 ...management initiatives. Exhibit industry and technical expertise in accounting and tax principles, while demonstrating strong research and...  ...: This position offers a hybrid work option, allowing for a combination of remote and in-office work based in Wooster....