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

MT Huntley Road.

Embedded software engineer Job at MT Huntley Road.

 ...instruments increase the efficiency and effectiveness of chemists and engineers. Our products help develop profitable, green, and safe...  ..., Hardware, this position will be responsible for leading embedded software development and integration with electronics projects for a... 

Infinity Quest UK

ODI ETL developer Job at Infinity Quest UK

 ...We are seeking a talented ODI Developer with IDMC knowledge to design, build, and optimize enterprise data integration solutions. The role involves migrating ODI-based ETL pipelines to Informatica IDMC for modern cloud-native data integration, governance, and quality... 

Wilson's Refrigeration & AC Service, Inc.

Experienced Bookkeeper Job at Wilson's Refrigeration & AC Service, Inc.

Experienced Bookkeeper Location Columbia, SC : Wilson's Refrigeration & Air has an immediate opening for an experienced Bookkeeper who will be responsible for overseeing the company's financial data and compliance by maintaining accurate books on accounts payable and... 

Dynamic Systems Technology, Inc.

Program Manager - IMCOM Systems Navigators Job at Dynamic Systems Technology, Inc.

 ...Navigators and ACS Compliance Specialists (SNACS) Support Services contract. The PM serves as the primary point of contact between DysTech...  ...Experience managing geographically dispersed teams and remote personnel Work Environment & Location Program management... 

Wondr Health

Content Strategist Job at Wondr Health

 ...growth targets and participant lifecycle stages. Create and optimize emails, SMS, print mailers, flyers, on-site communications, social ads, and landing page copy that convert eligible populations. Architect and write emails, SMS, push, and in-app notifications...