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

Massachusetts Institute of Technology

MIT - Assistant Professor, Creative Writing, Massachusetts Institute of Technology Job at Massachusetts Institute of Technology

 ...Comparative Media Studies / Writing section at the Massachusetts Institute of Technology in Cambridge, MA invites applications for...  ...-track faculty position at the rank of Assistant Professor in Creative Writing starting July 1, 2026, or as soon thereafter as possible... 

Saransh Inc

JCL Program Manager - Remote (US) Job at Saransh Inc

 ...Job Title: JCL Program Manager Location- Remote (US) Duration- 12 mos. Skill Metrics: DB2 Mainframe Modern delivery JCL COBOL/400 What are the top skills required for this role? JCL COBOL DB2 Mainframe... 

PeopleLift

Low Voltage Cabling Technician Job at PeopleLift

 ...Job Title : Low Voltage Cabling Technician (Full-Time) Location : Austin, TX (Work Across Data Centers in the USA) Position Overview : We are seeking a Low Voltage Cabling Technician to join our client's team and support the daily project life cycles... 

Cooperidge Consulting Firm

Local CDL-A Truck Driver (VA) Job at Cooperidge Consulting Firm

 ...clean driving record Minimum 3 months of commercial driving experience Clean MVR for the past 3 years (Incidents reviewed on a...  ...Resources Equipment & Operations ~ New, well-maintained trucks ~100% No-Touch Freight ~ All Drop & Hook ~ No New... 

Total Education Solutions

School Van Driver Job at Total Education Solutions

 ...Comprehensive Benefits including Health, Dental, & Vision Insurance Generous Paid time off & Retirement Plans &##127919; Expectations: drive and picks up students, clients, and occasionally parents. maintain and update route sheets, including left & rights (directions)....