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

The Institute for Citizens & Scholars

Higher Ed Media Fellowship for Early-Mid Career Journalists Job at The Institute for Citizens & Scholars

The Institute for Citizens & Scholars (C&S) is accepting applications for the spring 2025 class of the Higher Education Media Fellowship (HEM). The deadline to apply is February 1, 2025 and applications are welcome until the deadline date.Fellows will be awarded $10,0...

loanDepot

Licensed Lending Officer Job at loanDepot

 ...accordance with lending guidelines and mortgage policy. Our Lending Officers put their clients needs first to pre-qualify and provide a consultative, customer first approach, to determine the loan program that best fits their specific financial goals.Responsibilities:~... 

San Francisco Friends School

Horizons Summer Student Wellness Coach Job at San Francisco Friends School

 ...POSITION ANNOUNCEMENT: Student Wellness Coach, SUMMER 2025 LOCATION: Horizons at San Francisco Friends School Organization Background...  ...learning. ~ Help teachers and staff to celebrate success and share challenges in creating routines, procedures, and... 

Konare Law

Immigration Family Law Attorney Job at Konare Law

 ...Company Description Konare Law seeks an experienced and dedicated Immigration Family Law Attorney to join our team. The ideal candidate will have comprehensive experience handling SIJS cases, from the initial complaint for custody or guardianship to appearances in family... 

City of Port Arthur Texas

Certified Police Officer Job at City of Port Arthur Texas

 ...The City of Port Arthur is now accepting applications from Certified Police Officer candidates! The online application must be completed for consideration! Hiring Procedure for Lateral Entry Candidates -Applicants who are already certified by TCOLE as determined...