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

Medi-Weightloss

Medical Assistant Job at Medi-Weightloss

 ...Medical Assistant Opportunity at Medi-Weightloss About Medi-Weightloss of Raleigh Are you passionate about health, wellness,...  ...happier lives. Comprehensive Training : No medical assisting experience? No problem! We provide hands-on training in injection... 

Axiom Software Solutions Limited

Oracle Developer with ETL (OBIA) Job at Axiom Software Solutions Limited

 ...Oracle Developer with ETL (OBIA) Location Louisville, KY (Remote) Requirements Note: Customer is looking for OBIA Upgrade/Implementation , OBIEE and ETL experience Developer who has strong understanding of Oracle Business Analytics Warehouse and ODI... 

Domtar

Converting Production Machine Operator Job at Domtar

Domtar is a leading producer of pulp, paper, packaging, tissue and wood products. Through our focus on safety and sustainability, as well as our commitment to operational excellence and our network of facilities across Canada and the United States, Domtar delivers high-...

Torrington Child Care Center Inc.

Early Childhood - Teacher Job at Torrington Child Care Center Inc.

 .... Duties Coordinate and implement educational curriculum by developing classroom activities...  ...appropriate practices and early learning standards Lead by example; encourage...  ...screening. Associates Degree in early childhood education or related field of study with... 

Oracle

Principal ux designer data Job at Oracle

 ...interoperable with all sorts of others as well. Your design will be used to power as many scenarios as...  ...decisions. On the Oracle Analytics UX team, you will collaborate with software...  ...passion doing this work at the highest level, we'd love to talk to you and see a...